Carlos J. Rodriguez
Professional summary
Carlos Joseph Rodriguez is a registered financial professional currently at THE LEADERS GROUP, INC. located in Summit, New Jersey.
Carlos is registered as a RR (Registered Representative) and started their career in finance in 1999. Carlos has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carlos Joseph Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2024 - Present
THE LEADERS GROUP, INC.
Office #1: 475 Springfield Ave, Summit, NJ 07901October 4, 2019 - August 26, 2022
THE LEADERS GROUP, INC.
July 31, 2017 - July 12, 2018
CETERA INVESTMENT SERVICES LLC
October 3, 2011 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
October 7, 2009 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
March 28, 2003 - March 4, 2008
IFMG SECURITIES, INC.
July 3, 2002 - April 1, 2003
INVEST FINANCIAL CORPORATION
November 27, 2001 - July 8, 2002
FISERV INVESTOR SERVICES, INC.
February 7, 2000 - November 21, 2001
INVEST FINANCIAL CORPORATION
February 12, 1999 - February 22, 2000
METROPOLITAN LIFE INSURANCE COMPANY
February 12, 1999 - February 22, 2000
MSI FINANCIAL SERVICES, 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
(5/21/2024)
Exams
FINRA
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
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.
