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Dara Roughley

Rbc Rochdale, LLC

New York, NY

New York, NY

CRD 6337176

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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
NJ RA APPROVED 2025-04-21
NY RA APPROVED 2021-04-05
CA RA APPROVED 2018-06-05
  • NJ RA
    APPROVED
    Since 2025-04-21
  • NY RA
    APPROVED
    Since 2021-04-05
  • CA RA
    APPROVED
    Since 2018-06-05

Branch Locations

400 Park Avenue 10Th Floor, New York, NY 10022 • 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
Hennion & Walsh, Inc. Parsippany NJ 05/2014 05/2018
Rim Securities Llc New York NY 05/2018 Present
City National Rochdale New York NY 05/2018 Present
  • 05/2014 → 05/2018
    Hennion & Walsh, Inc.
    Parsippany, NJ
  • 05/2018 → Present
    Rim Securities Llc
    New York, NY
  • 05/2018 → Present
    City National Rochdale
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-08-31
S63 Uniform Securities Agent State Law Examination 2016-11-28
  • S65 Uniform Investment Adviser Law Examination
    2017-08-31
  • S63 Uniform Securities Agent State Law Examination
    2016-11-28
Other Names
  • Dara Colleen Roughley

View on SEC IAPD

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