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Tricia Vincent Filter

Rbc Rochdale, LLC

New York, NY

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Current Employers
Rbc Rochdale, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2025-05-01
CA RA APPROVED 2019-10-17
  • NY RA
    APPROVED
    Since 2025-05-01
  • CA RA
    APPROVED
    Since 2019-10-17

Branch Locations

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
City National Rochdale Irvine CA 09/2018 12/2020
Northern Trust Corporation Newport Beach CA 12/2017 07/2018
Pnc Capital Advisors Philadelphia PA 04/2011 10/2017
Cnr Securities, Llc New York NY 12/2020 Present
  • 09/2018 → 12/2020
    City National Rochdale
    Irvine, CA
  • 12/2017 → 07/2018
    Northern Trust Corporation
    Newport Beach, CA
  • 04/2011 → 10/2017
    Pnc Capital Advisors
    Philadelphia, PA
  • 12/2020 → Present
    Cnr Securities, Llc
    New York, NY
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-07-02
S65 Uniform Investment Adviser Law Examination 2019-10-16
  • S63 Uniform Securities Agent State Law Examination
    2020-07-02
  • S65 Uniform Investment Adviser Law Examination
    2019-10-16
Other Names
  • Tricia Lynn Vincent
  • Tricia Vincent
  • Tricia Filter

View on SEC IAPD

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