Tricia V. Filter
Professional summary
Tricia Vincent Filter, who also goes by Tricia Filter, Tricia Lynn VIncent, Tricia Vincent, is a registered financial advisor currently at RBC ROCHDALE, LLC located in New York, New York.
Tricia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Tricia has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tricia Vincent Filter's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 17, 2019 - Present
RBC ROCHDALE, LLC
Office #1: 400 Park Avenue, New York, NY 10022January 25, 2020 - June 30, 2025
CNR SECURITIES, LLC
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.
Highlighted states indicate IAR registrations
(10/17/2019)
(5/1/2025)
Exams
Series 7TO
Date: 1/24/2020
General Securities Representative ExaminationCurrent 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
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