Seven Key Questions Every Financial Professional Should Ask

Question 1: Does your manager treat you like a client?
Unfortunately, many managers in the investment industry regard their advisors as competitors, and use their position unfairly to build their own books. At RBC Dominion Securities, our professional Branch Managers are completely dedicated to the growth of their advisors’ businesses – and that dedication is reinforced with a compensation model that ties their success to your success.

Question 2: How financially strong is your current firm?
Not every investment firm came through the Financial Crisis of 2008-2009 unscathed – and some didn’t come through at all. At RBC Dominion Securities, we are by far the most profitable IIROC-registered firm in the country. This financial strength allows us to reinvest in our business at a time when others cannot. Our advisors reap the benefits, and their businesses grow.

Question 3: Can you build a discretionary practice?
Our Private Investment Management program allows qualified advisors to become licensed as discretionary Portfolio Managers. While other firms struggle to grow this type of program, RBC Dominion Securities advisors now manage over $18 billion in this fashion, and it’s the fastest-growing segment of our business.
Question 4: What resources does your firm provide to you?
Advisors at RBC Dominion Securities benefit from the Street’s leading Portfolio Advisory and Fixed-Income Desks (23 professionals), Financial Planning support (24 professionals), High-Net-Worth Specialists (five professionals), Managed Products Group (eight professionals), Business Development & Marketing Group (10 professionals), Practice Management Consulting – and more.
Question 5: Does your firm provide true wealth management support?
At RBC Dominion Securities, we are focused on true, professional wealth management. Our advisors work alongside our Financial Planner, Will and Estate Consultant, Estate Planning Specialist and Private Banker, as well as Commercial and Retail Banking experts, all at the branch level. Plus, advisors have access to our 80-member RBC Wealth Management Services team – consisting of highly qualified financial, tax and legal experts – which is the largest of its kind in North America.
Question 6: How much brand support do you have?
As Canada’s most valuable brand, instantly recognizable worldwide, RBC also helps open doors with prospective clients. RBC is Canada’s largest and most trusted financial institution, giving our clients exceptional peace of mind. Locally, we enjoy an excellent relationship with our RBC partners, working together on client service and referrals.
Question 7: Where are other investment professionals going?
Over 100 well-established Investment Advisors and Portfolio Managers have moved their practices to RBC Dominion Securities over the last three years, including 32 in 2009. Contact us to find out why!

The Yorkville Branch of RBC Dominion Securities

If you are dedicated to building the best Wealth Management business you can, no firm can offer you more advantages over your competition than RBC Dominion Securities.

Located in the vibrant Yorkville community, our branch is dedicated to helping advisors provide true professional wealth management and grow their businesses with industry-leading support. As Branch Manager, I invite you to consider the “seven key questions every investment professional should ask” – and how your firm compares to an industry leader like RBC Dominion Securities. If you would like more information, I would be pleased to speak with you on a confidential basis.

Marian Dragota
Branch Director
(416) 974-3000 or

RBC Dominion Securities
2 Bloor Street East
Suite 3000
Toronto, Ontario
M4W 1A8

Visit us here