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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

ROY MARTINEZ

Advisor at RBC SECURITIES, INC.

SANTA BARBARA, CA | Montecito, CA

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Search this name across graphsid dfx:ria:d90631c9-0b9d-6dd1-be52-5ccb85b15a49

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 4:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Oct 24, 2007 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: Oct 9, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Oct 9, 2007
First registration: Oct 24, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 5337751

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	May 23, 2014	n/a	yes	Montecito, CA\|SANTA BARBARA, CA	Current employment
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jan 24, 2013	May 14, 2014	no	LOS ANGELES, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Nov 1, 2012	no	SANTA BARBARA, CA\|SANTA BARBARA, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 24, 2007	Oct 23, 2009	no	SANTA BARBARA, CA	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
U.S. BANCORP ADVISORS, LLC	RBC SECURITIES, INC.	May 14, 2014	May 23, 2014	9	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	U.S. BANCORP ADVISORS, LLC	Nov 1, 2012	Jan 24, 2013	84	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ RBC SECURITIES, INC.Registered adviserregistration: current employment
May 23, 2014 to presentfactForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 24, 2013 to May 14, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Nov 1, 2012factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 24, 2007 to Oct 23, 2009factForm ADV

Dated events

No dated event names this entity yet.