Sheldon C. Brandau
Professional summary
Sheldon Craig Brandau, CPWA® is a registered financial advisor currently at RBC ROCHDALE, LLC located in Lake Mary, Florida and CNR SECURITIES, LLC located in Lake Mary, Florida.
Sheldon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Sheldon has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sheldon Craig Brandau's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2010 - Present
RBC ROCHDALE, LLC
Office #1: 605 Crescent Executive Court Suite 320, Lake Mary, FL 32746September 2, 2009 - Present
CNR SECURITIES, LLC
Office #1: 605 Crescent Executive Court, Suite 320, Lake Mary, FL 32746-2133September 27, 2004 - August 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2004 - August 3, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 16, 1995 - August 24, 1998
SANFORD C. BERNSTEIN & CO., INC.
Primary Firm SEC Registration
RBC ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2014)
(11/6/2017)
(1/6/2014)
(1/6/2014)
(1/6/2014)
(10/20/2014)
(8/5/2014)
(9/2/2009)
(2/16/2010)
(1/6/2014)
(11/18/2019)
(1/6/2014)
(1/6/2014)
(1/6/2014)
(1/6/2014)
(1/6/2014)
(10/20/2014)
(1/6/2014)
(1/6/2014)
(1/6/2014)
(1/6/2014)
(1/6/2014)
(3/22/2019)
(1/6/2014)
(3/25/2019)
(9/13/2019)
(1/7/2014)
(1/6/2014)
(1/7/2014)
(1/6/2014)
(3/6/2018)
(1/6/2014)
(8/5/2014)
(1/6/2014)
(1/6/2014)
(1/17/2014)
(9/25/2014)
(1/6/2014)
(1/6/2014)
(2/8/2019)
(4/20/2021)
Exams
FINRA
Current Firm
RBC ROCHDALE, LLC
CRD#: 117198 / SEC#: 801-27265
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 42,671 |
| AUM (Assets Under Management) | $ 72,960,498,578 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/25/2026 | ||
| 01/28/2025 | ||
| 10/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
RBC ROCHDALE, LLC
CRD#: 117198Lake Mary, FL 32746TRUST BUT VERIFY
Monitor Sheldon Brandau
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