Rodney B. Harada
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.
Rodney Bill Harada was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1986. Rodney had worked at 7 firms and has passed the Series 63, SIE, Series 16, Series 7, Series 27 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
September 8, 2016 - January 11, 2017
MACQUARIE CAPITAL (USA) INC.
June 23, 1999 - July 25, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
November 12, 1997 - November 9, 1998
BNP PARIBAS SECURITIES CORP.
August 21, 1996 - November 18, 1997
NATIXIS SECURITIES AMERICAS LLC
March 15, 1994 - June 7, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
March 26, 1993 - March 24, 1994
VALMEX INTERNATIONAL INC.
June 15, 1987 - February 17, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 7, 1986 - July 17, 1987
OKASAN INTERNATIONAL (AMERICA) INC.
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
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
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.
