Alvin B. Rodolfo
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.
Alvin Burl Rodolfo, who also goes by Alvin Burl Rodolfo, was a registered financial professional .
Alvin is a previously registered financial professional and started their career in finance in 1992. Alvin had worked at 14 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 7, Series 56, Series 55 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
December 15, 2023 - June 6, 2024
S2K FINANCIAL LLC
November 14, 2017 - December 18, 2023
IDB CAPITAL CORP.
January 21, 2016 - June 5, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 27, 2015 - June 5, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 4, 2014 - May 18, 2015
HOLD BROTHERS CAPITAL LLC
November 16, 2010 - March 13, 2012
BLOOMBERG TRADEBOOK LLC
February 3, 2009 - November 9, 2010
JONESTRADING
August 22, 2007 - December 2, 2008
SG AMERICAS SECURITIES, LLC
May 18, 2004 - August 7, 2007
VIRTU ITG LLC
October 24, 2003 - March 23, 2004
GORDON, HASKETT CAPITAL CORPORATION
July 1, 1998 - September 8, 2003
COWEN AND COMPANY
January 29, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
October 1, 1997 - February 24, 1999
BANC OF AMERICA SECURITIES LLC
November 12, 1996 - October 1, 1997
MONTGOMERY SECURITIES
July 20, 1992 - December 1, 1994
KLEINWORT BENSON NORTH AMERICA 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 12/4/2014
Proprietary Trader Qualification ExaminationSeries 55
Date: 4/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
S2K FINANCIAL LLC
CRD#: 248786 / SEC#: , 8-69628
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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