Charles F. Rood
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.
Charles Frederick Rood, who also goes by Chuck Rood, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1989. Charles had worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2001 - August 31, 2009
PTS ASSET MANAGEMENT
October 27, 1998 - November 4, 2021
HODGE FINANCIAL SERVICES, LLC
January 2, 1996 - December 9, 2011
ITS ASSET MANAGEMENT, L.P.
July 18, 1989 - October 17, 2006
WADSWORTH INVESTMENT CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
PTS ASSET MANAGEMENT
CRD#: 111047 / SEC#: 801-37540
Contact information
Red Flags
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