Ronald R. 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.
Ronald Ray Rodriguez, who also goes by Ron Rodriguez, Ronald Ray Rodriguez, was a registered financial professional .
Ronald is a previously registered financial professional and started their career in finance in 1986. Ronald had worked at 25 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 18, 2023 - August 19, 2024
WEALTHFORGE SECURITIES, LLC
May 21, 2022 - July 10, 2023
DWS DISTRIBUTORS, INC.
July 1, 2021 - November 23, 2021
WEALTHFORGE SECURITIES, LLC
September 22, 2020 - April 5, 2021
TRITON PACIFIC SECURITIES, LLC
January 31, 2020 - June 23, 2020
JCC CAPITAL MARKETS, LLC
October 15, 2019 - January 14, 2020
WALTON RE SECURITIES, LLC
March 10, 2017 - December 31, 2018
PTX SECURITIES, LLC
September 19, 2016 - January 20, 2017
AMERICAN ELM DISTRIBUTION PARTNERS, LLC
July 28, 2015 - October 27, 2016
STADION MONEY MANAGEMENT, LLC
March 13, 2015 - September 7, 2016
ALPS DISTRIBUTORS, INC.
July 8, 2013 - March 31, 2014
RESOURCE SECURITIES LLC
August 28, 2012 - July 3, 2013
REALTY CAPITAL SECURITIES, LLC
January 9, 2012 - July 13, 2012
GRIFFIN CAPITAL SECURITIES, LLC
February 1, 2011 - January 6, 2012
GRUBB & ELLIS CAPITAL CORPORATION
April 1, 2010 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
January 22, 2010 - April 7, 2010
AUGUSTAR DISTRIBUTORS, INC.
February 21, 2008 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
October 3, 2006 - February 13, 2008
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 19, 2006 - September 28, 2006
CHASE INVESTMENT SERVICES CORP.
April 17, 2006 - September 28, 2006
CHASE INVESTMENT SERVICES CORP.
November 11, 2004 - December 19, 2005
WAMU INVESTMENTS, INC.
November 11, 2004 - December 19, 2005
WAMU INVESTMENTS, INC.
October 26, 2001 - November 9, 2004
CUNA BROKERAGE SERVICES, INC.
October 26, 2001 - November 9, 2004
CUNA BROKERAGE SERVICES, INC.
June 27, 2001 - October 24, 2001
QUICK & REILLY, INC.
March 1, 1999 - January 29, 2001
CHASE INVESTMENT SERVICES CORP.
December 18, 1996 - March 1, 1999
J.P. MORGAN SECURITIES OF TEXAS, INC.
December 3, 1992 - November 1, 1996
USAA EQUITY ADVISORS, INC.
July 9, 1987 - October 28, 1991
USAA INVESTMENT SERVICES COMPANY
October 14, 1986 - January 1, 1987
FORESTERS FINANCIAL SERVICES, 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
WEALTHFORGE SECURITIES, LLC
CRD#: 152550 / SEC#: , 8-68464
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 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.
