Rodney S. Garretson
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 Scott Garretson, who also goes by Scott Garretson, was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1990. Rodney had worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2006 - January 23, 2007
MULTI-BANK SECURITIES, INC.
February 21, 1996 - July 15, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 13, 1995 - January 31, 1996
KEYBANC CAPITAL MARKETS INC.
March 5, 1991 - May 24, 1995
AMERIPRISE ADVISOR SERVICES, INC.
August 21, 1990 - March 5, 1991
OSAIC FS, INC.
January 24, 1990 - May 21, 1990
IDS LIFE INSURANCE COMPANY
January 24, 1990 - May 21, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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
Series 8
Date: 6/15/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
