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Rbc Rochdale, LLC CRD 117198
$73.0B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2026-06-09 |
Branch Locations
400 Park Avenue 10Th Floor, New York, NY 10022 • United States
605 Crescent Executive Court Suite 320, Lake Mary, FL 32746-2133 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Cnr Securities, Llc | Lake Mary | FL | 04/2026 | Present |
| Pruco Securities Llc | Englewood | CO | 10/2018 | 01/2019 |
| Big Lots | Aurora | CO | 11/2018 | 04/2019 |
| Morgan Stanley | Greenwood Village | CO | 06/2017 | 08/2017 |
| University Of Northern Colorado | Greeley | CO | 08/2015 | 05/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Greenville Village | CO | 03/2019 | 10/2019 |
| Unemployed | Aurora | CO | 05/2018 | 10/2018 |
| Bank Of America, N.A. | Greenwood Village | CO | 04/2019 | 10/2019 |
| H.C. Elite Services | Englewood | CO | 01/2020 | 01/2020 |
| Charles Schwab & Co., Inc. | Lone Tree | CO | 03/2020 | 10/2020 |
| Charles Schwab Investment Management, Inc. | Naples | FL | 10/2020 | 01/2024 |
| Ameriprise Financial Services, Llc | Woodridge | IL | 04/2024 | 02/2026 |
Business Ownership; Mr. Wet Jet LLC; Owner; Retail; 2773 54th St SW, , Naples, FL, 34116; Not Investment-Related; 02/22/2022; 1 to 9 hours per month; 0 during trading hours. Outside Employment; Engen Legacy LLC; Employee ; Manage advisory business; 6435 Main Street, , Woodridge, IL, 60517; Investment-Related; 04/01/2024; 60 hours per month; 60 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-09 |
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