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Ralph David Barocas

RBC Capital Markets, LLC

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About Ralph David Barocas

Ralph David Barocas is a financial advisor with RBC Capital Markets, LLC. Ralph has been in the industry since 1980 and holds a Series 7, Series 3 and Series 66 license. Prior to joining RBC Capital Markets, LLC, Ralph worked at Wachovia Securities, LLC, A. G. Edwards & Sons, Inc., Prudential-Bache Securities Inc., Boettcher & Company, Inc., Hanifen, Imhoff Inc., American Western Securities, Inc., and J Daniel Bell & Company, Inc.

Firm Information

Ralph Barocas 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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Ralph Barocas’s Registration & Firm History

CO

03/30/2017 - Present

RBC Capital Markets, LLC (DENVER CO)

CO

01/01/2008 - 08/27/2008

WACHOVIA SECURITIES, LLC (DENVER CO)

CO

01/25/1988 - 01/03/2008

A. G. EDWARDS & SONS, INC. (DENVER CO)

NA

07/28/1986 - 02/04/1988

PRUDENTIAL-BACHE SECURITIES INC.

NA

08/06/1984 - 07/31/1986

BOETTCHER & COMPANY, INC.

NA

08/07/1981 - 08/10/1984

HANIFEN, IMHOFF INC.

NA

12/30/1980 - 02/06/1981

AMERICAN WESTERN SECURITIES, INC.

NA

03/01/1977 - 10/23/1977

J DANIEL BELL & COMPANY, INC.

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Licenses & Designations

BOTH

Issued 11/05/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 02/06/1981

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/08/1986

Series 3 - National Commodity Futures Examination

BC

Issued 12/20/1980

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are 3 public disclosures for Ralph David Barocas. Review regulatory record here.
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