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Current Employers
Rbc Rochdale, Llc

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-07-02
NY RA APPROVED 2025-07-01
  • NJ RA
    APPROVED
    Since 2025-07-02
  • NY RA
    APPROVED
    Since 2025-07-01

Branch Locations

400 Park Avenue 10Th Floor, New York, NY 10022 • United States

400 Park Avenue, New York, NY 10022 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Fairleigh Dickinson University Madison NJ 05/2016 07/2017
Morgan Stanley Florham Park NJ 07/2016 02/2020
Morgan Stanley Private Bank, N.A. New York NY 01/2017 02/2020
Stifel Nicolaus & Co Inc New York NY 03/2020 04/2025
Cnr Securities, Llc New York NY 05/2025 Present
  • 05/2016 → 07/2017
    Fairleigh Dickinson University
    Madison, NJ
  • 07/2016 → 02/2020
    Florham Park, NJ
  • 01/2017 → 02/2020
    Morgan Stanley Private Bank, N.A.
    New York, NY
  • 03/2020 → 04/2025
    Stifel Nicolaus & Co Inc
    New York, NY
  • 05/2025 → Present
    Cnr Securities, Llc
    New York, NY
Previous Registrations
Other Businesses

(1) the name of the other business; - Toastmasters International - Ridgewood Club whether the business is investment-related; non investment-related the address of the other business; - Ridgewood Club: No Physical Address, meetings typically take place at Trinity Presbyterian Church (Fruitful Life) 722 E Ridgewood Ave, Ridgewood, NJ 07450 the nature of the other business; - To improve ones leadership and communication skills - there are multiple CNB toastmasters clubs your position/title/relationship with the other business; - Committee Member, Officer, Other - Role: Ridgewood Treasurer Committee Membership: Club Executive Committee the start date of your relationship; - 2025-07-01 the approximate number of hours/month you devote to the other business; - 5 the number of hours you devote to the other business during securities trading hours; - 0 briefly describe your duties relating to the other business; - As Treasurer, you are the club's accountant. You manage the club's bank account, write checks as approved by the executive committee, and deposit membership dues payments and other club revenues. You are also in charge of submitting membership dues payments to World Headquarters (accompanied by the names of renewing members), filing necessary tax documents, and keeping timely, accurate, up-to-date financial records for the club. (2) the name of the other business; - Toastmasters International - District 83 whether the business is investment-related; non investment-related the address of the other business; - International Organization: 9127 S. Jamaica Street, Suite 400 Englewood, CO 80112. District 83: No physical address, meetings are 100% held on Zoom the nature of the other business; - To improve ones leadership and communication skills - there are multiple CNB toastmasters clubs your position/title/relationship with the other business; - Director, Committee Member, Officer the start date of your relationship; - 2025-07-01 the approximate number of hours/month you devote to the other business; - 10 the number of hours you devote to the other business during securities trading hours; - 0 briefly describe your duties relating to the other business; - Budgeting, Profit and Loss Statements, District Assets and Inventory.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-20
  • S66 Uniform Combined State Law Examination
    2016-10-20
Other Names
  • Brian F Moody
  • Brian Foster Moody

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