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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
NY RA APPROVED 2021-04-13
  • NY RA
    APPROVED
    Since 2021-04-13

Branch Locations

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

Huntington, NY • 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
Guardian Life Ins New York NY 09/2014 03/2021
Park Ave Securities New York NY 09/2014 03/2021
City National Rochdale New York NY 03/2021 Present
  • 09/2014 → 03/2021
    Guardian Life Ins
    New York, NY
  • 09/2014 → 03/2021
    Park Ave Securities
    New York, NY
  • 03/2021 → Present
    City National Rochdale
    New York, NY
Previous Registrations
  • 2015-04-13 → 2021-04-29
    New York, NY
    New York, NY
  • 2012-01-04 → 2013-11-22
    Capital One Financial Advisors Llc
    Melville, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-26
S63 Uniform Securities Agent State Law Examination 2009-05-09
  • S65 Uniform Investment Adviser Law Examination
    2011-12-26
  • S63 Uniform Securities Agent State Law Examination
    2009-05-09
Designations
  • Chartered Financial Analyst

View on SEC IAPD

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