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Carson B Parker

Rbc Rochdale, LLC

New York, NY

Belmont, NC

CRD 5898041

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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
VA RA APPROVED 2024-02-06
SC RA APPROVED 2024-02-05
NY RA APPROVED 2022-10-31
NC RA APPROVED 2022-10-31
  • VA RA
    APPROVED
    Since 2024-02-06
  • SC RA
    APPROVED
    Since 2024-02-05
  • NY RA
    APPROVED
    Since 2022-10-31
  • NC RA
    APPROVED
    Since 2022-10-31

Branch Locations

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

Belmont, NC • 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
The Vanguard Group, Inc. Charlotte NC 08/2013 08/2019
Fisher Investments Plano TX 09/2019 09/2022
Cnr Securities , Llc New York NY 09/2022 Present
  • 08/2013 → 08/2019
    The Vanguard Group, Inc.
    Charlotte, NC
  • 09/2019 → 09/2022
    Fisher Investments
    Plano, TX
  • 09/2022 → Present
    Cnr Securities , Llc
    New York, NY
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-01-06
S65 Uniform Investment Adviser Law Examination 2019-12-03
  • S63 Uniform Securities Agent State Law Examination
    2023-01-06
  • S65 Uniform Investment Adviser Law Examination
    2019-12-03
Other Names
  • Carson B Parker
  • Carson Bradford Parker

View on SEC IAPD

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