Rodney J. Davis
Professional summary
Rodney Jerome Davis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rodney is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Rodney had worked at 13 firms, which includes SHARPE CAPITAL INC., BLUESTONE CAPITAL CORP., FIRST SECURITY INVESTMENTS INC., TRAUTMAN WASSERMAN & COMPANY INC., MILLENNIUM SECURITIES CORP., STUART COLEMAN & CO. INC., JOSEPHTHAL & CO. INC., INVESTORS ASSOCIATES INC., COMMONWEALTH ASSOCIATES, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., GRUNTAL & CO. L.L.C., PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2000 - October 20, 2000
SHARPE CAPITAL, INC.
September 22, 1999 - February 2, 2000
BLUESTONE CAPITAL CORP.
July 11, 1999 - July 16, 1999
FIRST SECURITY INVESTMENTS, INC.
October 14, 1998 - May 3, 1999
TRAUTMAN WASSERMAN & COMPANY, INC.
August 8, 1997 - November 6, 1997
MILLENNIUM SECURITIES CORP.
November 25, 1996 - June 24, 1997
STUART, COLEMAN & CO., INC.
April 26, 1996 - October 9, 1996
JOSEPHTHAL & CO., INC.
November 16, 1994 - June 18, 1996
INVESTORS ASSOCIATES, INC.
January 13, 1994 - November 22, 1994
COMMONWEALTH ASSOCIATES
July 31, 1993 - January 14, 1994
CITIGROUP GLOBAL MARKETS INC.
April 22, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
September 29, 1992 - February 18, 1993
GRUNTAL & CO., L.L.C.
June 12, 1992 - September 17, 1992
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
SHARPE CAPITAL, INC.
CRD#: 18452 / SEC#: , 8-36709
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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