Mario Rodriguez
Professional summary
Mario Rodriguez was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mario is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Mario had worked at 6 firms, which includes DELTA ASSET MANAGEMENT COMPANY LLC, SPENCER CLARKE LLC, THE THERMOPYLAE GROUP INC., J.W. BARCLAY & CO. INC., FIRST CAMBRIDGE SECURITIES CORPORATION, H.J. MEYERS & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2001 - November 7, 2003
DELTA ASSET MANAGEMENT COMPANY, LLC
October 5, 1998 - January 15, 1999
SPENCER CLARKE LLC
July 6, 1998 - December 16, 1998
THE THERMOPYLAE GROUP, INC.
June 18, 1997 - July 17, 1998
J.W. BARCLAY & CO., INC.
February 25, 1997 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
August 9, 1995 - March 13, 1997
H.J. MEYERS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DELTA ASSET MANAGEMENT COMPANY, LLC
CRD#: 39923 / SEC#: , 8-48888
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
Red Flags
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