Daniel Sandoval
Investment Adviser Representative at RBC Capital Markets, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Daniel Sandoval is an investment adviser representative with RBC Capital Markets, LLC in Beverly Hills, CA, where they have been registered since 2018. They have worked in the securities industry since 2014 and have been registered with 3 firms, including Raymond James & Associates, Inc. and Northwestern Mutual Investment Services, LLC. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California and Texas.
Office
Advisors at this office: 50
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Texas
- Broker:
41 states and territories
Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, Montana, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, Wisconsin, Wyoming
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Raymond James Insurance GroupMay 2015 – Jun 2017St Petersburg, FL
- Raymond James & Associates IncMay 2015 – Jan 2017St Petersburg, FL
- Raymond James & AssociatesJun 2017 – Feb 2018Los Angeles, CA
- RBC Capital Markets, LLC.Feb 2018 – no end date reportedBeverly Hills, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About RBC Capital Markets, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Retirement Plan Rollovers, Retirement Income Planning, Portfolio Management, Estate Planning Services, Education Funding, Company Stock Option Planning, and Tax-Exempt Municipal Bonds.
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 3,804
- Offices listed on AdvisorFinder:
- 26
- Main office:
- New York, NY
- SEC file number:
- 801-13059
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 30, 2026
View full firm profileOther advisors at RBC Capital Markets, LLC
Showing 12 of 3,804 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Daniel Sandoval has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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