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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 |
|---|---|---|---|
| AZ | RA | APPROVED | 2023-08-03 |
| NV | RA | APPROVED | 2018-08-09 |
| CO | RA | APPROVED | 2018-07-26 |
| ID | RA | APPROVED | 2018-07-26 |
| MT | RA | APPROVED | 2018-07-26 |
| OR | RA | APPROVED | 2018-07-26 |
| TX | RA | APPROVED | 2018-07-26 |
| UT | RA | APPROVED | 2018-07-26 |
| WA | RA | APPROVED | 2018-07-26 |
| CA | RA | APPROVED | 2012-06-27 |
Branch Locations
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
455 Market Street, San Francisco, CA 94105 • United States
San Mateo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Rim Securities Llc | San Francisco | CA | 05/2011 | Present |
| Rochdale Investment Management Llc | San Francisco | CA | 05/2011 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-06-26 |
| S63 | Uniform Securities Agent State Law Examination | 2009-11-23 |
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