Career
Gregg Giaquinto has been President, CEO & Board Director of RBC Rochdale since February 2024. Gregg Giaquinto is a control person of the firm and directly owns under 5% of it. Gregg Giaquinto holds a Juris Doctor from Brooklyn Law School and a Bachelor of Science in Business Management from SUNY.
RBC Rochdale, LLC is a New York, NY firm with $73B under management, 17,054 clients and 138 advisers across 11 offices, as of its September 2026 filing.
RBC Rochdale identifies Gregg Giaquinto as its President and CEO, noting he joined in 2007 and previously worked at FINRA, City National Bank, and Electronic Trading Group.
No adviser firm registrations are on Gregg Giaquinto’s record.
Credentials and registrations
Professional designations
Listed by RBC Rochdale
- New York State Bar
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| Series 57TO | Securities Trader Exam | 2 January 2023 |
| Series 82TO | Limited Representative-Private Securities Offerings | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 53 | Municipal Securities Principal Examination | 8 June 2007 |
| Series 63 | Uniform Securities Agent State Law Examination | 12 June 2000 |
| Series 55 | Limited Representative-Equity Trader Exam | 20 March 2000 |
| Series 24 | General Securities Principal Examination | 11 August 1999 |
| Series 7 | General Securities Representative Examination | 6 July 1999 |
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Trader Exam
- Name
- Limited Representative-Private Securities Offerings
- Name
- Securities Industry Essentials Examination
- Name
- Municipal Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Limited Representative-Equity Trader Exam
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Gregg Giaquinto
- CRD
- 3182583
- Firm bio
- rbcrochdale.com
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Gregg Giaquinto work?
Gregg Giaquinto has been President, CEO & Board Director of RBC Rochdale, LLC since February 2024, and is a control person of the firm.
Does Gregg Giaquinto have a current investment-adviser registration?
Gregg Giaquinto has a current broker registration and no current investment-adviser registration.
What exams has Gregg Giaquinto passed?
Gregg Giaquinto has passed 9 licensing exams: the Series 7, Series 24, Series 55, Series 63, Series 53, Series 99TO, Series 57TO, Series 82TO and Series 52TO. The earliest, the Series 7, was passed in July 1999. FINRA credited Gregg Giaquinto with the SIE, which began in October 2018.