Lloyd RainesCRD Number: 1250573
Current Firm: Rbc Capital Markets, LLC
Lloyd Raines (CRD# 1250573) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Stamford, CT and has over 33 years of experience in the finance industry.
Altium Wealth Management LLC
Karagosian Financial Services, Inc.
Ubs Financial Services Inc.
|Rbc Capital Markets Corporation||Stamford, CT||Mar 2008 - Current||9|
|Rbc Dain Rauscher Inc.||Stamford, CT||Mar 2002 - Mar 2008||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 1984|
|S65||NASAA Investment Advisors Law Examination||May 1997|
- Customer Dispute
Total Assets Under Management76,274MILLIONS
Total Number of Accounts192,243ACCOUNTS
Average Account Value$396,757
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV