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Christopher John Douglas

Rbc Rochdale, LLC

La Jolla, CA

New York, NY

Irvine, CA

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Current Employers
Rbc Rochdale, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-05-22
  • CA RA
    APPROVED
    Since 2020-05-22

Branch Locations

4275 Executive Square, La Jolla, CA 92037 • United States

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

18111 Von Karman Avenue, Irvine, CA 92612 • 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
City National Rochdale Irvine CA 01/2020 Present
Barclays New York NY 09/2018 01/2020
Barclays New York NY 07/2016 09/2018
Claremont Graduate University Claremont CA 09/2015 05/2016
Claremont Graduate University Claremont CA 09/2014 05/2016
Unemployed Upland CA 05/2016 07/2016
  • 01/2020 → Present
    City National Rochdale
    Irvine, CA
  • 09/2018 → 01/2020
    Barclays
    New York, NY
  • 07/2016 → 09/2018
    Barclays
    New York, NY
  • 09/2015 → 05/2016
    Claremont Graduate University
    Claremont, CA
  • 09/2014 → 05/2016
    Claremont Graduate University
    Claremont, CA
  • 05/2016 → 07/2016
    Unemployed
    Upland, CA
Other Businesses

(1) NAME OF BUSINESS-New Frequency; INVESTMENT RELATED-No ; BUSINESS ADDRESS-N/A-Residual royalties; NATURE OF BUSINESS-I receive music publishing royalties from ASCAP; POSITION-Composer/producer; START DATE-01/01/2001; HOURS PER MONTH-0; HOURS DURING TRADING-0; DUTIES-There are no duties. Passively receive residual royalties. (2) the name of the other business: whether the business is investment-related: non investment-related the address of the other business: 6521 Fischer Way, San Diego, CA 92130 the nature of the other business: Selling records (music) by myself your position; title, or relationship with the other business: Owner the start date of your relationship: 11/18/2025 the approximate number of hours/month you devote to the other business: less than 1 hr the number of hours you devote to the other business during securities trading hours: less than 1 hr and briefly describe your duties relating to the other business: Selling records (music) by myself

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-22
  • S66 Uniform Combined State Law Examination
    2020-05-22
Other Names
  • Chris Douglas
  • Christopher John Douglas
  • Christopher J Douglas

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