Rodger D. Gaulding
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.
Rodger Dorman Gaulding was a registered financial professional .
Rodger is a previously registered financial professional and started their career in finance in 1970. Rodger had worked at 7 firms and has passed the Series 63, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2019 - December 31, 2020
INSTITUTIONAL SECURITIES CORPORATION
September 25, 1993 - November 8, 2019
BRAZOS SECURITIES, INC.
June 19, 1989 - September 13, 1993
MAY FINANCIAL CORPORATION
February 12, 1985 - June 23, 1989
THOMSON MCKINNON SECURITIES INC.
January 17, 1977 - February 12, 1985
SCHNEIDER, BERNET & HICKMAN, INC.
September 20, 1973 - February 10, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
September 23, 1970 - October 24, 1973
UNDERWOOD, NEUHAUS & CO., INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
PC
Date: 5/15/1985
AMEX Put and Call ExamSeries 1
Date: 8/7/1968
Registered Representative ExaminationCurrent Firm
INSTITUTIONAL SECURITIES CORPORATION
CRD#: 20291 / SEC#: 801-36967, 8-38158
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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