AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RR

Raja Raza

Some features on this profile are disabled
CRD#: 6581929
RR

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Raja Raza, CFP®, who also goes by Raja Hasan Raza, was a registered financial professional .

Raja is a previously registered financial professional and started their career in finance in 2015. Raja had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Raja Hasan Raza

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Experience

Past

August 13, 2024 - October 11, 2024

RBC ROCHDALE, LLC

RIA
CRD#: 117198
West Palm Beach, FL
Past

June 10, 2024 - October 11, 2024

CNR SECURITIES, LLC

BD
CRD#: 18466
NEW YORK, NY
Past

February 7, 2023 - September 22, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
PALM BEACH, FL
Past

January 24, 2023 - September 22, 2023

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

August 1, 2022 - September 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PALM BEACH, FL
Past

April 18, 2022 - September 22, 2023

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PALM BEACH, FL
Past

February 19, 2020 - February 28, 2022

SVB WEALTH

RIA
CRD#: 172832
NEW YORK, NY
Past

December 14, 2015 - December 10, 2019

ERNST & YOUNG INVESTMENT ADVISERS LLP

RIA
CRD#: 110921
SECAUCUS, NJ

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/12/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/7/2015
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/22/2022
Securities Industry Essentials Examination

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
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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#: 117198

TRUST BUT VERIFY

Monitor Raja Raza

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.