Simon Rosenbaum
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.
Simon Rosenbaum is an investment adviser representative with RBC Capital Markets, LLC in New York, NY, where they have been registered since 2026, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in Texas and Washington.
Office
Advisors at this office: 99
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Texas, Washington
- Broker:
33 states and territories
Alaska, Arizona, California, Colorado, Connecticut, Delaware, Florida, Hawaii, Idaho, Illinois, Indiana, Kentucky, Michigan, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, Washington, Wisconsin
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.
- RBC Capital Markets LLCJun 2026 – no end date reportedSeattle, WA
- RBC Wealth ManagementAug 2022 – Oct 2022Seattle, WA
- StudentSep 2007 – Aug 2022Seattle, WA
- StudentNov 2022 – Jun 2023Tel Aviv
- RBC Wealth ManagementJul 2023 – Aug 2023Seattle, WA
- Student at Baruch CollegeSep 2023 – Jun 2024New York, NY
- RBC Wealth ManagementJul 2024 – Jun 2026Seattle, WA
- Student At Baruch CollegeAug 2024 – Jun 2025New York, NY
- Student at Baruch CollegeAug 2025 – May 2026New York, NY
Official records & sources
Data as of August 10, 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. Simon Rosenbaum 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.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
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