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Rbc Rochdale, LLC CRD 117198
$73.0B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-04-05 |
| CA | RA | APPROVED | 2017-01-27 |
Branch Locations
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
400 Park Avenue, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Westco Investment Corp. | Lynbrook | NY | 10/2013 | 01/2017 |
| Westco Advisory Services, Inc. | Lynbrook | NY | 10/2013 | 01/2017 |
| Cnr | New York | NY | 01/2017 | Present |
| Rim Securities Llc | New York | NY | 01/2017 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-08-12 |
| S63 | Uniform Securities Agent State Law Examination | 2016-06-08 |
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