Best Investors Account Sign in

Stephen Kleiman

Rbc Rochdale, LLC

New York, NY

New York, NY

Claim This Profile
Current Employers
Rbc Rochdale, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2023-07-31
KY RA APPROVED 2023-07-31
MI RA APPROVED 2023-07-31
OK RA APPROVED 2023-07-31
SC RA APPROVED 2023-07-31
WI RA APPROVED 2023-07-31
VA RA APPROVED 2021-05-03
NY RA APPROVED 2021-03-22
IL RA APPROVED 2021-03-03
CO RA APPROVED 2021-03-01
HI RA APPROVED 2021-02-26
NV RA APPROVED 2021-02-25
LA RA APPROVED 2021-02-19
WY RA APPROVED 2021-02-19
AZ RA APPROVED 2021-02-18
KS RA APPROVED 2021-02-16
ND RA APPROVED 2021-02-16
NC RA APPROVED 2021-02-15
AL RA APPROVED 2021-02-12
IA RA APPROVED 2021-02-11
MN RA APPROVED 2021-02-11
NM RA APPROVED 2021-02-11
VI RA APPROVED 2021-02-11
AK RA APPROVED 2021-02-10
DE RA APPROVED 2021-02-10
NH RA APPROVED 2021-02-10
NJ RA APPROVED 2021-02-10
PR RA APPROVED 2021-02-10
WA RA APPROVED 2021-02-10
CT RA APPROVED 2021-02-09
GA RA APPROVED 2021-02-09
ID RA APPROVED 2021-02-09
ME RA APPROVED 2021-02-09
MO RA APPROVED 2021-02-09
PA RA APPROVED 2021-02-09
RI RA APPROVED 2021-02-09
SD RA APPROVED 2021-02-09
UT RA APPROVED 2021-02-09
MT RA APPROVED 2021-02-08
OH RA APPROVED 2021-02-08
TX RA APPROVED_RES 2021-02-08
  • AR RA
    APPROVED
    Since 2023-07-31
  • KY RA
    APPROVED
    Since 2023-07-31
  • MI RA
    APPROVED
    Since 2023-07-31
  • OK RA
    APPROVED
    Since 2023-07-31
  • SC RA
    APPROVED
    Since 2023-07-31
  • WI RA
    APPROVED
    Since 2023-07-31
  • VA RA
    APPROVED
    Since 2021-05-03
  • NY RA
    APPROVED
    Since 2021-03-22
  • IL RA
    APPROVED
    Since 2021-03-03
  • CO RA
    APPROVED
    Since 2021-03-01
  • HI RA
    APPROVED
    Since 2021-02-26
  • NV RA
    APPROVED
    Since 2021-02-25
  • LA RA
    APPROVED
    Since 2021-02-19
  • WY RA
    APPROVED
    Since 2021-02-19
  • AZ RA
    APPROVED
    Since 2021-02-18
  • KS RA
    APPROVED
    Since 2021-02-16
  • ND RA
    APPROVED
    Since 2021-02-16
  • NC RA
    APPROVED
    Since 2021-02-15
  • AL RA
    APPROVED
    Since 2021-02-12
  • IA RA
    APPROVED
    Since 2021-02-11
  • MN RA
    APPROVED
    Since 2021-02-11
  • NM RA
    APPROVED
    Since 2021-02-11
  • VI RA
    APPROVED
    Since 2021-02-11
  • AK RA
    APPROVED
    Since 2021-02-10
  • DE RA
    APPROVED
    Since 2021-02-10
  • NH RA
    APPROVED
    Since 2021-02-10
  • NJ RA
    APPROVED
    Since 2021-02-10
  • PR RA
    APPROVED
    Since 2021-02-10
  • WA RA
    APPROVED
    Since 2021-02-10
  • CT RA
    APPROVED
    Since 2021-02-09
  • GA RA
    APPROVED
    Since 2021-02-09
  • ID RA
    APPROVED
    Since 2021-02-09
  • ME RA
    APPROVED
    Since 2021-02-09
  • MO RA
    APPROVED
    Since 2021-02-09
  • PA RA
    APPROVED
    Since 2021-02-09
  • RI RA
    APPROVED
    Since 2021-02-09
  • SD RA
    APPROVED
    Since 2021-02-09
  • UT RA
    APPROVED
    Since 2021-02-09
  • MT RA
    APPROVED
    Since 2021-02-08
  • OH RA
    APPROVED
    Since 2021-02-08
  • TX RA
    APPROVED_RES
    Since 2021-02-08

Branch Locations

400 Park Avenue 6Th Floor, New York, NY 10022 • 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
OrganizationCityStateFromTo
Morgan Stanley New York NY 01/2016 07/2018
City National Rochdale New York NY 11/2020 Present
Fordham University, Gabelli School Of Business New York NY 08/2018 05/2020
Unemployed New York NY 06/2020 10/2020
  • 01/2016 → 07/2018
    Morgan Stanley
    New York, NY
  • 11/2020 → Present
    City National Rochdale
    New York, NY
  • 08/2018 → 05/2020
    Fordham University, Gabelli School Of Business
    New York, NY
  • 06/2020 → 10/2020
    Unemployed
    New York, NY
Previous Registrations
  • 2016-01-04 → 2018-07-16
    Morgan Stanley
    New York, NY
  • 2014-10-09 → 2016-01-28
    Credit Suisse Securities (Usa) Llc
    New York, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-02-04
  • S66 Uniform Combined State Law Examination
    2021-02-04

View on SEC IAPD

Other Firms

ISLET MANAGEMENT, LP
P2 CAPITAL PARTNERS, LLC
KINYAN CAPITAL MANAGEMENT LLC
BRIGHTSPIRE CAPITAL ADVISORS, LLC
ACORN ADVISORY CAPITAL, L.P.
COMPASS GROUP LLC
CRESTVIEW PARTNERS
LEEDS EQUITY PARTNERS

Other Investors

STEVEN MARC MUEHLGAY
STEPHANIE LYNN FAGENSON
Ross Gladstone
Logan Stephen Michals
JONATHAN HARRY SIEGEL
HAL WILLIAM BROWN
RICCARDO MARIA RAINIERI
TEDDY LELLOS

Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

More in New York, NY

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor