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Kendall Au

RBC Capital Markets, LLC

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About Kendall Au

Kendall Au is a registered representative with RBC Capital Markets, LLC, a firm with over $50 billion in assets under management. Kendall has experience in the financial industry, having previously worked at Citigroup Global Markets Inc. Kendall holds the Series 63, Series 86, Series 87, and SIE licenses. Kendall specializes in providing financial planning, portfolio management, and pension consulting services to individuals, corporations, and institutions.

Firm Information

Kendall Au is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Kendall Au’s Registration & Firm History

NY

11/28/2022 - Present

RBC Capital Markets, LLC (NEW YORK NY)

NY

05/02/2022 - 10/05/2022

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/14/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/02/2022

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 01/31/2022

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/30/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

New York Stock Exchange

Disclosures

There are no public disclosures for Kendall Au.
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