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Detailed Report
TRICIA VINCENT FILTER
TRICIA FILTER, TRICIA LYNN VINCENT, TRICIA VINCENT
CRD#: 5754521
IA
Investment Adviser
B
Broker
CITY NATIONAL ROCHDALECRD#: 117198 18111 Von Karman Avenue
Suite 450
Irvine, CA 92612
CNR SECURITIES, LLCCRD#: 18466 18111 VON KARMAN AVENUE
IRVINE, CA 92612
Registration History
20192020202120222023202420252026IACITY NATIONAL ROCHDALE (CRD# 117198)2019 - Present (5 years)BCNR SECURITIES, LLC (CRD# 18466)2020 - Present (5 years)
License(s)

State Registrations

IA
California 10/17/2019
B
New York 8/4/2022
B
California 7/2/2020
B
Pennsylvania 8/4/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CITY NATIONAL ROCHDALE (CRD#:117198)
18111 Von Karman Avenue Suite 450, Irvine, CA 92612
Registered with this firm since 10/17/2019
B
CNR SECURITIES, LLC (CRD#:18466)
18111 VON KARMAN AVENUE, IRVINE, CA 92612
Registered with this firm since 1/25/2020
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.