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400 Park Avenue 10Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-02-13 |
| NV | RA | APPROVED | 2023-07-25 |
| CA | RA | APPROVED | 2013-06-29 |
Branch Locations
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
4275 Executive Square, La Jolla, CA 92037 • United States
La Mesa, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| City National Bank | San Diego | CA | 09/1997 | Present |
| Rim Securities | New York | NY | 09/2012 | Present |
| Rochdale Investment Management Llc | New York | NY | 09/2012 | Present |
(1) Name of Entity: San Diego Cooperative Charter School; Non-investment related; Address: 7260 Linda Vista Road, San Diego CA 92111; Nature of OBA: Charter School; Position/Title/Relationship: Board Member; Start Date: 11/01/2015; Time devoted: 20 hours per month; 0 during securities trading hours; Duties: General board member, oversee the financial decisions, hiring decisions, planning decisions, etc.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-06-28 |
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