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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 2014-08-14
  • CA RA
    APPROVED
    Since 2014-08-14

Branch Locations

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

455 Market Street Suite 2070, San Francisco,, CA 94105 • 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
Rim Securities New York NY 09/2012 Present
Cnr Securities, Llc New York NY 09/2012 Present
  • 09/2012 → Present
    Rim Securities
    New York, NY
  • 09/2012 → Present
    Cnr Securities, Llc
    New York, NY
Other Businesses

(1) Name of Entity: Church of Christ - On Finance committee; Non-investment related; Address: Alpine Road Portola Valley, CA; Nature of OBA: Church; Position/Title/Relationship: Director; Start Date: 01/02/2015; Time devoted: 1 hour per month; 0 during securities trading hours; Duties: Sit at board meetings and review investment performance of mutual funds.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-08-14
  • S66 Uniform Combined State Law Examination
    2014-08-14

View on SEC IAPD

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