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TG

Tracey Graziosa

RBC ROCHDALE
New York, NY 10022
Some features on this profile are disabled
CRD#: 6171764
TG

Professional summary

Tracey Graziosa is a registered financial advisor currently at RBC ROCHDALE, LLC located in New York, New York and CNR SECURITIES, LLC located in New York, New York.

Tracey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Tracey has worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Tracey Graziosa'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

September 4, 2025 - Present

RBC ROCHDALE, LLC

Office #1: 400 Park Avenue 10th Floor, New York, NY 10022
RIA
CRD#: 117198
New York, NY
Current

September 4, 2025 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 3rd Floor, New York, NY 10022
BD
CRD#: 18466
New York, NY
Past

June 6, 2024 - January 12, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
New York, NY
Past

September 29, 2023 - January 12, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 10, 2019 - January 14, 2025

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA
CRD#: 108559
New York, NY
Past

September 10, 2019 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

BD
CRD#: 105108
NEW YORK, NY
Past

January 15, 2019 - June 20, 2019

FORESTERS ADVISORY SERVICES, LLC

RIA
CRD#: 164663
New York, NY
Past

July 8, 2013 - June 20, 2019

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
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".
RR
RBC ROCHDALE, LLC
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | RBC ROCHDALE, LLC | RBC ROCHDALE | 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
New York
(9/4/2025)
IAR
New York
(9/4/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/22/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/22/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/8/2013
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 51
Date: 4/27/2015
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/26/2014
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

RR
RBC ROCHDALE, LLC
CITY NATIONAL ROCHDALE | ROCHDALE INVESTMENT MANAGEMENT LLC | ROCHDALE INVESTMENT MANAGEMENT | RBC ROCHDALE, LLC | RBC ROCHDALE | CITY NATIONAL ROCHDALE, LLC

CRD#: 117198 / SEC#: 801-27265

RIA
Registered Investment Advisory firm - (6/20/1986 Approved)
PREMIUM
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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
269

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

RBC ROCHDALE INDEPENDENT CHANNEL BROCHURE (1/29/2026)
RBC ROCHDALE BANK CHANNEL BROCHURE (1/29/2026)

Regulatory assets under management

Total Number of Accounts42,671
AUM (Assets Under Management)$ 72,960,498,578

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/25/2026
Cover Page
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

RBC ROCHDALE, LLC

CRD#: 117198New York, NY 10022

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