Tricia Filter (CRD# 5754521) is an Investment Advisor Representative working at City National Rochdale in Irvine, CA and has over 5 years of experience in the finance industry.
CRD# 1620034
Raymond James & Associates, Inc.
CRD# 6384003
Navigate Wealth Management LLC
CRD# 2361078
Baker Jensen Investment Advisors, LLC
Company Name | Location | Dates | Years |
---|---|---|---|
City National Rochdale | Irvine, CA | Sep 2018 - Current | 6 |
Northern Trust Corporation | Newport Beach, CA | Dec 2017 - Jul 2018 | < 1 |
Pnc Capital Advisors | Philadelphia, PA | Apr 2011 - Oct 2017 | 6 |
Exam Code | Name | Passed Date |
---|---|---|
S63 | Uniform Securities State Law Examination | Jul 2020 |
S65 | NASAA Investment Advisors Law Examination | Oct 2019 |
- CA
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Total Assets Under Management60,066MILLIONS
-
Total Number of Accounts43,108ACCOUNTS
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Average Account Value$1,393,375
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies")
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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