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AF

Aubrey J. Foerster

CITY NATIONAL ROCHDALE
New York, NY 10022
Some features on this profile are disabled
CRD#: 4959252
AF

Professional summary

Aubrey Jean Foerster, who also goes by Foerster, Aubrey Jean Giffen, is a registered financial advisor currently at CITY NATIONAL ROCHDALE located in New York, New York and CNR SECURITIES, LLC located in New York, New York.

Aubrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Aubrey has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Foerster | Aubrey Jean Giffen

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) NAME: CFA Society Stamford Investment related ADDRESS: Stamford, CT Nature of OBA: To promote the CFA charter. Position/Title/Role: Board Member Start date: 07/01/22 Time devoted: 8 hours per month; 0 during securities trading hours Duties: Programming Co-Chair. I will determine content for events the organization will hold for its members.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aubrey Jean Foerster's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 17, 2021 - Present

CITY NATIONAL ROCHDALE

Office #1: 400 Park Ave, New York, NY 10022
RIA
CRD#: 117198
New York, NY
Current

January 10, 2018 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 6th Floor, New York, NY 10022
BD
CRD#: 18466
NEW YORK, NY
Past

June 14, 2016 - December 19, 2017

CITY NATIONAL SECURITIES, INC.

RIA
CRD#: 103705
NEW YORK, NY
Past

May 18, 2016 - December 19, 2017

CITY NATIONAL SECURITIES, INC.

BD
CRD#: 103705
NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/10/2018)
IAR
Connecticut
(7/21/2023)
RR
Connecticut
(6/28/2024)
RR
New York
(1/10/2018)
IAR
New York
(12/17/2021)
RR
Texas
(2/7/2025)
IAR
Texas
(2/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/7/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/18/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CN
CITY NATIONAL ROCHDALE
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)
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Contact information

Main Address
400 Park Avenue 10th Floor, New York, NY 10022
Mailing Address
Phone number
(212) 702-3500
Established
Firm type
Fiscal year end
# of Employees
235

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

CNR ADV PART 2A WRAP FEE BROCHURE - OCTOBER 28, 2025 (10/28/2025)
CNR ADV PART 2A BROCHURE - OCTOBER 28, 2025 (10/28/2025)

Regulatory assets under management

Total Number of Accounts41,300
AUM (Assets Under Management)$ 68,177,828,012

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2025
Cover Page
Report
10/27/2023
Cover Page
Report

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

CITY NATIONAL ROCHDALE

CRD#: 117198New York, NY 10022

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