John Rodriguez
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.
John Rodriguez was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1991. John had worked at 15 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2021 - April 24, 2025
OLD CITY SECURITIES LLC
February 18, 2020 - February 11, 2021
STONECREST CAPITAL MARKETS, INC.
March 2, 2018 - June 26, 2020
SILVER LEAF PARTNERS, LLC
December 11, 2015 - December 5, 2016
FDX CAPITAL LLC
September 25, 2006 - December 23, 2014
SINCLAIR & COMPANY, LLC
February 17, 2006 - May 23, 2006
SECOND STREET SECURITIES, INC.
July 13, 2004 - January 10, 2006
SECOND STREET SECURITIES, INC.
December 1, 2003 - May 26, 2004
DOMINARI SECURITIES LLC
July 17, 2002 - July 31, 2003
LEK SECURITIES CORPORATION
November 27, 2001 - June 3, 2002
TULLETT PREBON FINANCIAL SERVICES LLC
March 7, 2001 - July 23, 2001
TRADITION SECURITIES AND DERIVATIVES LLC
July 22, 1997 - June 30, 2000
SWISS AMERICAN SECURITIES INC.
June 11, 1996 - July 8, 1997
DAIWA CAPITAL MARKETS AMERICA INC.
July 5, 1994 - May 15, 1996
ING BARING (U.S.) SECURITIES, INC.
July 12, 1991 - June 28, 1994
CITIGROUP GLOBAL MARKETS INC.
June 10, 1991 - July 15, 1991
EXETER, LTD.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/22/2002
Limited Representative-Equity Trader ExamCurrent Firm
OLD CITY SECURITIES LLC
CRD#: 171910 / SEC#: , 8-69488
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Red Flags
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