Joshua E. Reyes

RBC ROCHDALE

New York, NY 10022

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CRD#: 6200145

Professional summary

Joshua Eric Reyes 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.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Joshua has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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 Joshua Eric Reyes'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

January 27, 2026 - Present

RBC ROCHDALE, LLC

Office #1: 400 Park Avenue 10th Floor, New York, NY 10022

RIA

CRD#: 117198

New York, NY

Current

January 27, 2026 - Present

CNR SECURITIES, LLC

Office #1: 400 Park Avenue 3rd Floor, New York, NY 10022

CRD#: 18466

New York, NY

Past

January 21, 2021 - January 22, 2026

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

PASADENA, CA

Past

January 21, 2021 - January 22, 2026

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PASADENA, CA

Past

August 17, 2018 - January 15, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

Glendale, CA

Past

June 25, 2018 - January 15, 2021

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

Glendale, CA

Past

June 4, 2018 - June 22, 2018

EQUANIMITY FINANCIAL PARTNERS

RIA

CRD#: 152050

PASADENA, CA

Past

February 25, 2014 - March 16, 2018

NYLIFE SECURITIES LLC

CRD#: 5167

PASADENA, CA

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".

RBC 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.

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

California
(1/27/2026)

IAR

California
(1/27/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/4/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/4/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/1/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/25/2014

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RBC 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

269

SEC notice filing (53 States and Territories)

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 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	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.

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Firm Stability Insights

Joshua E. Reyes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Eric Reyes's CRS (Customer Relationship Summary).

Certified licenses

Experience

RBC ROCHDALE, LLC

CNR SECURITIES, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

EQUANIMITY FINANCIAL PARTNERS

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

RBC ROCHDALE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2018

Series 63

Date: 4/4/2014

Series 7TO

Date: 11/1/2019

SIE

Date: 10/1/2018

Series 6

Date: 2/25/2014

FINRA

Current Firm

RBC ROCHDALE, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

RBC ROCHDALE, LLC

TRUST BUT VERIFY

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