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RIA / WealthAdvisordual registered (broker-dealer)16 years in industry

JOSEPH EDWARD BAUMGARTNER

Advisor at RBC ROCHDALE, LLC

Matthews, NC | NEW YORK, NY

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Search this name across graphsid dfx:ria:1950ff42-9caa-9a9a-4875-c82dcc46beeb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:57 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 17, 2009 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RBC ROCHDALE, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 5, 2009earliest registration or exam on IAPD
Years in industry: 16derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Nov 5, 2009
First registration: Dec 17, 2009
Dual registered: yes, broker-dealer
IAPD individual key: 5643440

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RBC ROCHDALE, LLC	Bd affiliated wealth	Aug 27, 2026	n/a	yes	Matthews, NC\|NEW YORK, NY	Current employment
EAGLE STRATEGIES LLC	Bd affiliated wealth	Jun 18, 2012	Aug 18, 2026	no	NEW YORK, NY\|CHARLOTTE, NC\|Charlotte, NC\|Matthews, NC	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Sep 3, 2010	Jan 17, 2012	no	BERLIN, NJ\|MULIICA HILL, NJ\|COLLINGSWOOD, NJ\|GLOUCESTER, NJ\|DELRAN, NJ	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Dec 17, 2009	Jun 25, 2010	no	NEWARK, DE	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
EAGLE STRATEGIES LLC	RBC ROCHDALE, LLC	Aug 18, 2026	Aug 27, 2026	9	Firm change	Ibd to ibd
PNC WEALTH MANAGEMENT	EAGLE STRATEGIES LLC	Jan 17, 2012	Jun 18, 2012	153	Firm change	Other
SECURIAN FINANCIAL SERVICES, INC.	PNC WEALTH MANAGEMENT	Jun 25, 2010	Sep 3, 2010	70	Firm change	Other

Relationships

Registered with (4)

→ RBC ROCHDALE, LLCRegistered adviserregistration: current employment
Aug 27, 2026 to presentfactForm ADV
→ EAGLE STRATEGIES LLCRegistered adviserregistration: previous registration
Jun 18, 2012 to Aug 18, 2026factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Sep 3, 2010 to Jan 17, 2012factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 17, 2009 to Jun 25, 2010factForm ADV

Dated events

Occurred
Aug 18, 2026
Advisor changed firm
Joseph Edward Baumgartner left Eagle Strategies Llc for Rbc Rochdale, Llc (registered 2026-08-27)
Form ADVobserved 4 days ago