Rodel Corriente

RODEL CORRIENTE (SY) LLC

Arcadia, CA

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CRD#: 1590862

Professional summary

Rodel Corriente is a registered financial advisor currently at RODEL CORRIENTE (SY) LLC located in Arcadia, California.

Rodel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Rodel has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SOLE OWNER OF RACING AND BREEDING THOROUGHBRED HORSES. BUSINESS NAME: RODEL CORRIENTE INVESTMENT RELATED: BREEDING RACE HORSES AND RACING THEM ADDRESS: 1020 SAN CARLOS RD NATURE: RACE HORSES YOUR POSITION, TITLE, ASSOCIATION: SOLE OWNER START DATE: APPROXIMATELY 1999 NUMBER OF HOURS DEVOTED PER MONTH: ABOUT 10 HOURS NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: NONE DUTIES: JUST WATCH THE WOK OUT AND WHEN EVER THEY RACE.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodel Corriente's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 12, 2010 - Present

RODEL CORRIENTE (SY) LLC

RIA

CRD#: 154210

Arcadia, CA

Past

November 3, 2006 - July 13, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PASADENA, CA

Past

November 3, 2006 - July 13, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PASADENA, CA

Past

July 8, 1997 - November 20, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

PASADENA, CA

Past

March 27, 1997 - November 20, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PASADENA, CA

Past

July 5, 1994 - April 3, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

June 1, 1990 - July 22, 1994

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 1, 1987 - June 8, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

December 26, 1986 - June 9, 1987

TRANSINTERNATIONAL SECURITIES

CRD#: 14179

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(8/12/2010)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/17/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/23/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

Current Firm

RODEL CORRIENTE (SY) LLC

CORRIENTE, RODEL | RODEL CORRIENTE (SY)WEALTH MANAGEMENT LLC | RODEL CORRIENTE (SY)LLC | RODEL CORRIENTE (SY) WEALTH MANAGEMENT LLC | RODEL CORRIENTE (SY) LLC

CRD#: 154210 / SEC#:

California

Registered Investment Advisory firm - (8/12/2010 Approved)

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Contact information

Main Address

Arcadia, CA

Mailing Address

1020 San Carlos Rd, Arcadia, CA 91006

Phone number

(626) 353-8409

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	12
AUM (Assets Under Management)	$ 9,000,000

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.

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Rodel Corriente

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodel Corriente's CRS (Customer Relationship Summary).

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

TRANSINTERNATIONAL SECURITIES

State Registrations and Notice Filings

Exams

Series 65

Date: 2/17/2007

Series 63

Date: 10/23/1990

Series 7

Date: 12/20/1986

Current Firm

RODEL CORRIENTE (SY) LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RODEL CORRIENTE (SY) LLC

TRUST BUT VERIFY

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