Joseph Edward Baumgartner

Current Employers

Rbc Rochdale, Llc

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2026-08-27

NC RA
APPROVED

Since 2026-08-27

Branch Locations

Matthews, NC • United States

400 Park Avenue 10Th Floor, 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

Organization	City	State	From	To
New York Life Insurance Company	Parsippany	NJ	01/2012	08/2026
Cnr Securities, Llc	Matthews	NC	08/2026	Present

01/2012 → 08/2026

New York Life Insurance Company

Parsippany, NJ
08/2026 → Present

Cnr Securities, Llc

Matthews, NC

Previous Registrations

2012-06-18 → 2026-08-18

Eagle Strategies Llc

New York, NY

Charlotte, NC

Charlotte, NC

Matthews, NC
2010-09-03 → 2012-01-17

Pnc Wealth Management Llc

Berlin, NJ

Muliica Hill, NJ

Collingswood, NJ

Gloucester, NJ

Delran, NJ
2009-12-17 → 2010-06-25

Securian Financial Services, Inc.

Newark, DE

Other Businesses

Carolina Capital Holdings LLC; 312 Wellingshire Court Matthews, NC 28103; holding company: brokerage assets, private equity and rental property-owner; 2 hours per month not during normal business hours. 1416 Lineberger LLC; 1416 Lineberger Ave Gastonia, NC 28052; rental property-owner; 5 hours per month not during normal business hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-11-05

S66 Uniform Combined State Law Examination

2009-11-05

View on SEC IAPD