Alan T. Rodriguez
Professional summary
Alan Timothy Rodriguez, who also goes by Alan T Rodriguez, Alan Timothy Rodriquez, is a registered financial professional currently at AMERICAN TRUST INVESTMENT SERVICES, INC. located in Chicago, Illinois.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1987. Alan has worked at 13 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alan Timothy Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 13, 2013 - Present
AMERICAN TRUST INVESTMENT SERVICES, INC.
Office #1: 230 W. Monroe Suite 300, Chicago, IL 60606March 13, 2009 - July 22, 2013
NDX TRADING, INC.
July 30, 2004 - March 13, 2009
TRADERIGHT SECURITIES, INC.
March 13, 2001 - July 22, 2004
BIRKELBACH INVESTMENT SECURITIES, INC.
November 15, 2000 - March 7, 2001
MORGAN STANLEY DW INC.
October 23, 1990 - November 24, 2000
A. G. EDWARDS & SONS, INC.
April 3, 1989 - October 18, 1990
HAMILTON INVESTMENTS, INC.
September 16, 1988 - April 19, 1989
SANCTUARY SECURITIES, INC.
August 25, 1988 - October 12, 1988
J. W. GANT & ASSOCIATES, INC.
April 5, 1988 - August 30, 1988
AMERICAN FRONTEER FINANCIAL CORPORATION
January 4, 1988 - April 21, 1988
GREENTREE SECURITIES CORP.
August 18, 1987 - December 31, 1987
BROOKS WEINGER ROBBINS & LEEDS INC.
August 18, 1987 - September 23, 1988
SECURITIES USA, 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
(1/14/2020)
(1/9/2020)
(1/9/2020)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
AMERICAN TRUST INVESTMENT SERVICES, INC.
CRD#: 3001 / SEC#: , 8-14394
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
| 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.
