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Sheldon Craig Brandau

Rbc Rochdale, LLC

New York, NY

Lake Mary, FL

Oviedo, FL

CRD 2375270

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Employer firm

Rbc Rochdale, LLC CRD 117198

$73.0B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Rbc Rochdale, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2014-01-17
FL RA APPROVED 2010-02-16
  • TX RA
    APPROVED_RES
    Since 2014-01-17
  • FL RA
    APPROVED
    Since 2010-02-16

Branch Locations

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

605 Crescent Executive Court Suite 320, Lake Mary, FL 32746 • United States

Oviedo, FL • 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
Rochdale Investment Management Llc New York NY 08/2009 Present
Rim Securities Llc New York NY 08/2009 Present
  • 08/2009 → Present
    Rochdale Investment Management Llc
    New York, NY
  • 08/2009 → Present
    Rim Securities Llc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-09-23
S63 Uniform Securities Agent State Law Examination 1995-06-02
  • S66 Uniform Combined State Law Examination
    2004-09-23
  • S63 Uniform Securities Agent State Law Examination
    1995-06-02

View on SEC IAPD

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