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Albert Diaz

Rbc Rochdale, LLC

New York, NY

Beverly Hills, CA

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Current Employers
Rbc Rochdale, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-09-05
  • CA RA
    APPROVED
    Since 2025-09-05

Branch Locations

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

400 N Roxbury Dr 7Th Floor, Beverly Hills, CA 90210 • 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
U.S. Bancorp Investments, Inc. Inglewood CA 05/2018 12/2019
U.S. Bank Inglewood CA 07/2015 12/2019
City National Securities Los Angeles CA 06/2021 05/2025
Franklin Templeton Investments Los Angeles CA 12/2019 06/2021
City National Rochdale Beverly Hills CA 05/2025 Present
  • 05/2018 → 12/2019
    U.S. Bancorp Investments, Inc.
    Inglewood, CA
  • 07/2015 → 12/2019
    U.S. Bank
    Inglewood, CA
  • 06/2021 → 05/2025
    City National Securities
    Los Angeles, CA
  • 12/2019 → 06/2021
    Franklin Templeton Investments
    Los Angeles, CA
  • 05/2025 → Present
    City National Rochdale
    Beverly Hills, CA
Previous Registrations
  • 2023-05-05 → 2025-09-09
    Rbc Securities, Inc
    Beverly Hills, CA
    Los Angeles, CA
    Los Angeles, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-05
S63 Uniform Securities Agent State Law Examination 2018-10-09
  • S66 Uniform Combined State Law Examination
    2023-05-05
  • S63 Uniform Securities Agent State Law Examination
    2018-10-09

View on SEC IAPD

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