Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tricia? Claim Your ProfileTricia Schwalb is a financial professional with over 20 years of experience in the industry. Currently, Tricia works at RBC Capital Markets, LLC as a registered representative. Prior to joining RBC, Tricia worked at Wachovia Capital Markets, LLC and Prudential Equity Group, LLC. Tricia has a broad range of experience in the financial services industry, including securities trading and financial planning. Tricia holds Series 7, 55, 57TO and SIE licenses. Tricia is registered to provide investment advice in 53 states and is a member of FINRA.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NY
10/14/2008 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
03/19/2007 - 11/07/2008
WACHOVIA CAPITAL MARKETS, LLC (NEW YORK NY)
NY
02/04/2002 - 03/15/2007
PRUDENTIAL EQUITY GROUP, LLC (NEW YORK NY)
BC
Issued 10/26/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/01/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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