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Tricia Vincent Filter

City National Rochdale

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About Tricia Vincent Filter

Tricia Vincent Filter is an investment advisor representative at City National Rochdale. Tricia has been working in the industry since 2011, and holds several licenses and registrations. Tricia has passed the Series 7, Series 63, Series 65, and SIE exams. Tricia has a strong focus on helping individuals and businesses reach their financial goals. Tricia is also registered in several states. Tricia's specializations include providing investment advice and portfolio management services to high-net-worth individuals, corporations, investment companies, and pooled investment vehicles.

Firm Information

Tricia Filter is currently registered with City National Rochdale. City National Rochdale is an investment advisor with over $50 billion in assets under management. They offer a variety of services, including portfolio management for individuals, businesses, investment companies, and pooled investment vehicles. They also provide selection of other advisors and have a wrap fee program. They are registered with the SEC and have offices in New York, NY.
City National Rochdale

400 PARK AVENUE

NEW YORK, NY 10022

$68.18B

Assets Under Management

Not reported

Total Clients

113

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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portfolio management for investment companies

Strategic management for diversified investment portfolios.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Tricia Filter’s Registration & Firm History

CA

10/17/2019 - Present

City National Rochdale (Irvine CA)

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Licenses & Designations

BC

Issued 07/02/2020

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 10/16/2019

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/24/2020

Series 7TO - General Securities Representative Examination

BC

Issued 01/10/2020

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Tricia Vincent Filter.
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