Peter Bado
Chief Legal Advisor-U.S. Wealth Management, Royal Bank of Canada Capital Markets, LLC
Peter Bado is currently the Chief Legal Advisor-U.S. Wealth Management for the Royal Bank of Canada, a Fortune Global 300 company, and is a member of the Executive Committee. In this role Peter advises senior U.S. management on a wide-range of broker-dealer and registered investment adviser issues as well as managing a team of lawyers and paralegals. Prior to becoming the Chief Legal Advisor, Peter was the Head of RBC U.S. Wealth Management Litigation, Regulatory Enforcement and Employment Law.
Prior to joining RBC, Peter was the Chief Legal Officer for Thrivent Investment Management Inc., the broker-dealer/registered investment adviser affiliate of a Fortune 400 company. In this role Peter advised senior management on all legal issues pertaining to the broker-dealer and registered investment adviser business. Peter was also responsible for managing attorneys, Compliance personnel and paralegals.
Peter began his in-house legal career with UBS in Los Angeles where he litigated a wide range of securities matters in federal and state courts as well as before self-regulatory organizations. Peter then became the Senior Division and Managing Counsel for the UBS Central Division located in Chicago where he advised Division and Regional management on regulatory, litigation, employment, operational and other run-the-business legal issues.
Peter was also a partner in the Am Law 100 law firm Dorsey & Whitney where his practice focused on securities related regulatory, litigation, operational and cross-border issues as well as internal investigations.
Peter began his legal career with the U.S. Securities and Exchange Commission in Los Angeles as a Staff Attorney in the Division of Enforcement and then as a Trial Counsel. While at the SEC he was appointed as a Special Assistant United States Attorney for purposes of prosecuting criminal violations of the federal securities laws.
Peter received a Bachelor of Arts Degree in Accounting and Economics from the University of California Santa Barbara and received his Juris Doctor degree from Loyola Law School in Los Angeles.