Douglas W. Rodwell
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Wilson Rodwell JR, who also goes by Douglas Wilson Rodwell, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1984. Douglas had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2013 - December 12, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 19, 2011 - October 29, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 15, 2009 - January 19, 2011
SIMPLICITY FINANCIAL INVESTMENT SERVICES, INC.
May 14, 2009 - September 4, 2009
MONEY CONCEPTS CAPITAL CORP
May 14, 2009 - September 4, 2009
MONEY CONCEPTS CAPITAL CORP
January 25, 2007 - August 12, 2008
SYNERGY INVESTMENT GROUP, LLC
April 17, 2006 - September 15, 2006
MML INVESTORS SERVICES, LLC
July 21, 2005 - September 15, 2006
MML INVESTORS SERVICES, LLC
June 29, 2004 - July 6, 2005
PARK AVENUE SECURITIES LLC
January 28, 2003 - July 6, 2005
PARK AVENUE SECURITIES LLC
February 3, 1999 - January 10, 2003
NYLIFE SECURITIES LLC
July 1, 1997 - January 15, 1999
CARILLON INVESTMENTS, INC.
May 19, 1992 - July 1, 1997
VOYA FINANCIAL ADVISORS, INC.
November 26, 1991 - September 24, 1998
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
August 18, 1986 - January 13, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
October 24, 1984 - September 8, 1986
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
