Rodger D. Shay Jr
Professional summary
Rodger David Shay Jr, who also goes by Rodger David Shay Jr, is a registered financial professional currently at AUSTIN ATLANTIC CAPITAL INC. located in Coral Gables, Florida.
Rodger is registered as a RR (Registered Representative) and started their career in finance in 1981. Rodger has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 5, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rodger David Shay Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 11, 1997 - Present
AUSTIN ATLANTIC CAPITAL INC.
Office #1: 1 Alhambra Plaza Suite 100, Coral Gables, FL 33134Office #3: 1 Alhambra Plaza Suite 100, Coral Gables, FL 33134September 4, 1990 - December 3, 1997
SHAY GOVERNMENT SECURITIES CO.
September 4, 1990 - December 8, 1997
SHAY FINANCIAL SERVICES CO.
September 7, 1988 - September 18, 1990
SHAY FINANCIAL GROUP INCORPORATED
August 3, 1987 - May 20, 1988
MERRILL LYNCH GOVERNMENT SECURITIES INC.
September 28, 1981 - May 20, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 3/30/1982
Interest Rate Options ExaminationFINRA
Current Firm
AUSTIN ATLANTIC CAPITAL INC.
CRD#: 43981 / SEC#: , 8-50509
Contact information
FINRA licenses (50 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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Company Information
AUSTIN ATLANTIC CAPITAL INC.
CRD#: 43981Coral Gables, FL 33134TRUST BUT VERIFY
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