Chief Compliance Officer · RBC Securities, Inc.
Richard Joseph Barton
CRD 2040869 · Named on Form ADV at one SEC-registered adviser
At a glance
RBC Securities, Inc., an SEC-registered broker-dealer firm based in LOS Angeles, CA with $1.5 billion in regulatory assets, lists Richard Joseph Barton on its Form ADV as Chief Compliance Officer, a control person.
Firms and roles
- RBC Securities, Inc.Chief Compliance OfficerBroker-dealer firm · LOS Angeles, CA · $1.5B in regulatory assets
AtlasMembers
Richard’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Colleagues named on the same filings (7)
- Santiago Avila BretadoVP & Chief Financial Officer, RBC Securities, Inc.
- Ivor Patrick O'KeeffeChief Operating Officer & Board Director, RBC Securities, Inc.
- Gregg GiaquintoBoard Director, RBC Securities, Inc.
- Shawn David RileyBoard Director, RBC Securities, Inc.
- Joby Swankutty DanielBoard Director, RBC Securities, Inc.
2 more people named with Richard on the same filings, with titles and firms. Free in Atlas with a free account.
See all 7 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Richard’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.