Mario C. 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.
Mario Christopher Rodriguez was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1992. Mario had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 1999 - July 31, 1999
PROFESSIONAL CONCEPTS & PLANNING, INC.
April 19, 1999 - July 31, 1999
PROFESSIONAL CONCEPTS & PLANNING, INC.
May 26, 1998 - January 6, 1999
PARKER BROMLEY LTD.
September 19, 1997 - December 15, 1997
ROYAL HUTTON SECURITIES CORP.
August 9, 1995 - June 23, 1997
STERLING FOSTER & COMPANY, INC.
May 9, 1995 - August 8, 1995
FAIRCHILD FINANCIAL GROUP, INC.
June 27, 1994 - May 11, 1995
STERLING FOSTER & COMPANY, INC.
April 23, 1992 - July 5, 1994
J. GREGORY & COMPANY, 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
PROFESSIONAL CONCEPTS & PLANNING, INC.
CRD#: 15321 / SEC#: , 8-31997
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| 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.
