Roderic Essen
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.
Roderic Essen, who also goes by Roderic Rutherford Essen, was a registered financial professional .
Roderic is a previously registered financial professional and started their career in finance in 1993. Roderic had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2013 - July 20, 2022
FOCALPOINT SECURITIES, LLC
June 2, 2011 - January 27, 2012
MORGAN STANLEY
June 1, 2011 - January 27, 2012
MORGAN STANLEY
February 3, 2009 - March 21, 2013
BENEFIT FINANCIAL SERVICES GROUP
November 6, 2008 - March 15, 2011
REYNOLDS ADVISORY PARTNERS,LLC
July 8, 1997 - December 21, 2007
A. G. EDWARDS & SONS, INC.
June 23, 1997 - December 21, 2007
A. G. EDWARDS & SONS, INC.
June 14, 1993 - April 17, 1996
UBS FINANCIAL SERVICES INC.
January 8, 1993 - May 5, 1993
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current Firm
FOCALPOINT SECURITIES, LLC
CRD#: 133168 / SEC#: , 8-66697
Contact information
Documents
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.
