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RIA / WealthAdvisor19 years in industry

JAMES GEORGE WALLS

Advisor at RBC SECURITIES, INC.

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:212eda90-e8f6-b785-30ad-6d105af186e8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:45 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 5, 2008 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 3, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 3, 2006
First registration: Jun 5, 2008
Dual registered: no
Other names: JAMES GEORGE WALLS
IAPD individual key: 2871465

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC SECURITIES, INC.	Bd affiliated wealth	Mar 28, 2025	n/a	yes	LOS ANGELES, CA	Current employment
ASCENSUS INVESTMENT ADVISORS, LLC	Institutional manager	May 18, 2021	Apr 6, 2023	no	NEEDHAM, MA\|BALTIMORE, MD	Previous registration
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.	Former SEC adviser	Oct 1, 2015	Dec 31, 2020	no	Baltimore, MD\|GREENVILLE, SC	Previous registration
OSAIC FA, INC.	Former SEC adviser	Nov 24, 2008	Sep 8, 2015	no	BALTIMORE, MD\|FORT WAYNE, IN\|BALTIMORE, MD\|BALTIMORE, MD	Previous registration
M&T SECURITIES, INC.	n/a	Jul 7, 2008	Oct 24, 2008	no	BALTIMORE, MD	Previous registration
WILMINGTON TRUST INVESTMENT ADVISORS, INC.	Other adviser	Jun 5, 2008	Nov 10, 2008	no	BALTIMORE, MD	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ASCENSUS INVESTMENT ADVISORS, LLC	RBC SECURITIES, INC.	Apr 6, 2023	Mar 28, 2025	722	Firm change after gap	Other
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.	ASCENSUS INVESTMENT ADVISORS, LLC	Dec 31, 2020	May 18, 2021	138	Firm change	Other
OSAIC FA, INC.	BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.	Sep 8, 2015	Oct 1, 2015	23	Firm change	Other
WILMINGTON TRUST INVESTMENT ADVISORS, INC.	M&T SECURITIES, INC.	Nov 10, 2008	Jul 7, 2008	-126	Firm change after gap	Other
M&T SECURITIES, INC.	OSAIC FA, INC.	Oct 24, 2008	Nov 24, 2008	31	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
106156:120632:SC:2020-12-31	Dec 31, 2020	May 18, 2021	GREENVILLE, SC	Firm change

Relationships

Registered with (6)

→ RBC SECURITIES, INC.Registered adviserregistration: current employment
Mar 28, 2025 to presentfactForm ADV
→ ASCENSUS INVESTMENT ADVISORS, LLCRegistered adviserregistration: previous registration
May 18, 2021 to Apr 6, 2023factForm ADV
→ BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.Registered adviserregistration: previous registration
Oct 1, 2015 to Dec 31, 2020factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Nov 24, 2008 to Sep 8, 2015factForm ADV
→ WILMINGTON TRUST INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Jun 5, 2008 to Nov 10, 2008factForm ADV
→ M&T SECURITIES, INC.Registered adviserregistration: previous registration
Jul 7, 2008 to Oct 24, 2008factForm ADV

Dated events

Occurred
Apr 6, 2023
Advisor changed firm
James George Walls left Ascensus Investment Advisors, Llc for Rbc Securities, Inc. (registered 2025-03-28)
Form ADVobserved 6 days ago