Michael J. Ladge
RBC CAPITAL MARKETS | Managing Director
Beverly Hills, CA 90212-2351
Some features on this profile are disabled
CRD#: 2791222
Professional summary
Michael James Ladge is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Beverly Hills, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
What are your service offerings?
Philanthropic services
Financial planning
Trust & estate planning
Loans/credit services
Executive services/Equity comp...
Retirement planning
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
1M
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Nifty Games; Not Investment related; Video game development of Sports game; Advisory board(proprietor, partner, officer, director, employee, trustee, agent); Dec 2018; During business hours: 1; After business hours: 0; Providing Advise
2. Name: Lojo LLC
Address: 15538 Nalin Place Los Angeles, CA 90077
Business Description: It is an LLC that I have used for 15 years for asset protection and real estate/investments
Business is not investment related
Projected Start Date: 07/07/05
Capacity: Owner - Passive
Duties Performed: There are no duties. It only holds assets.
Devoted to this OBA per Month: 0
Hours Devoted to this OBA during business hours: 0
3. Name: I-Can Youth Foundation
Address: 6709 La Tijera Blvd. #107 Los Angeles, CA 90045
Business Description: Charity - Advisor
Business is not investment related
Projected Start Date: 09/01/02
Capacity: Other
Duties Performed: budgeting and paying expenses
Devoted to this OBA per Month: 1
Hours Devoted to this OBA during business hours: 0
4. Name: Royalty Sports & Media
Address: 22122 Martinez St. Woodland Hills, CA 91346
Business Description: Athlete representation & Management2020
Business is not investment related
Projected Start Date: 11/01/19
Capacity: Partner
Duties Performed: ADVISORY AND INTRODUCTIONS
Devoted to this OBA per Month: 1
Hours Devoted to this OBA during business hours: 0
5. Name: Refill Inc, DBA Pathwater Inc
Address: 44137 Fremont Blvd. Fremont, CA 94539
Business Description: recyclible water bottles
Business is not investment related
Projected Start Date: 06/12/19
Capacity: Other
Duties Performed: This is a very informal role where there are many advisors to the company. I have assisted them with introductions to celebrities and athletes who drink their water as well as have introduced this to companies like Equinox gyms that carry it. Once in a while we get on a Zoom call do go over the direction of the company with some very cool people.
Devoted to this OBA per Month: 1
Hours Devoted to this OBA during business hours: 1
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Ladge's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael James Ladge's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 10, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351RIA
BD
CRD#: 31194
Beverly Hills, CA
Current
August 10, 2020 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 9465 Wilshire Boulevard Suite 700, Beverly Hills, CA 90212-2351RIA
BD
CRD#: 31194
Beverly Hills, CA
Past
June 1, 2009 - August 11, 2020
MORGAN STANLEY
RIA
CRD#: 149777
BEVERLY HILLS, CA
Past
June 1, 2009 - August 11, 2020
MORGAN STANLEY
BD
CRD#: 149777
BEVERLY HILLS, CA
Past
June 6, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
LOS ANGELES, CA
Past
June 6, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LOS ANGELES, CA
Past
March 6, 2002 - June 20, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
CENTURY CITY, CA
Past
February 22, 2002 - June 20, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
CENTURY CITY, CA
Past
January 7, 1999 - February 27, 2002
PERSHING LLC
BD
CRD#: 7560
JERSEY CITY, NJ
Past
October 2, 1996 - December 23, 1998
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/2/2024)
RR
Arizona(8/10/2020)
RR
California(8/10/2020)
IAR
California(8/11/2020)
RR
Colorado(8/10/2020)
RR
Delaware(1/4/2024)
RR
Florida(8/10/2020)
RR
Georgia(8/11/2020)
RR
Hawaii(3/18/2025)
RR
Idaho(7/21/2021)
RR
Illinois(8/12/2020)
RR
Indiana(8/18/2020)
RR
Kentucky(4/12/2023)
RR
Massachusetts(8/10/2020)
RR
Michigan(8/10/2020)
RR
Minnesota(4/3/2023)
RR
Nevada(8/10/2020)
RR
New Jersey(8/10/2020)
RR
New Mexico(8/10/2020)
RR
New York(8/10/2020)
RR
North Carolina(3/6/2023)
RR
Ohio(12/26/2021)
RR
Oregon(8/10/2020)
RR
Rhode Island(12/22/2023)
RR
South Carolina(8/10/2020)
RR
South Dakota(3/15/2021)
RR
Tennessee(5/25/2022)
RR
Texas(8/10/2020)
IAR
Texas(8/10/2020)
RR
Utah(8/10/2020)
RR
Washington(8/10/2020)
RR
Wisconsin(8/10/2020)
RR
Wyoming(8/10/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RBC CAPITAL MARKETS, LLC
Managing DirectorCRD#: 31194Beverly Hills, CA 90212-2351TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
