Roderick Liptrot
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.
Roderick Liptrot, who also goes by Lip Liptrot, Roderick Nmn Liptrot, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 1994. Roderick had worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 4, 2015 - December 14, 2016
MADISON AVENUE SECURITIES, LLC
September 12, 2013 - October 30, 2014
MSI FINANCIAL SERVICES, INC.
August 3, 2009 - September 2, 2011
PRUCO SECURITIES, LLC.
March 27, 2009 - September 2, 2011
PRUCO SECURITIES, LLC.
August 1, 2008 - February 2, 2009
NATIONWIDE SECURITIES, LLC
August 1, 2008 - February 2, 2009
NATIONWIDE SECURITIES, LLC
December 4, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
July 7, 2006 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
January 1, 2004 - March 27, 2006
CETERA FINANCIAL SPECIALISTS LLC
July 15, 2002 - May 11, 2006
CETERA INVESTMENT ADVISERS LLC
January 24, 2001 - January 1, 2004
CAPITAL BROKERAGE CORPORATION
November 3, 1994 - January 19, 2001
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
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
Current Firm
MADISON AVENUE SECURITIES, LLC
CRD#: 23224 / SEC#: 801-69919, 8-40426
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KT EQUITY PARTNERS II, LLC | DIRECT OWNER | |
| CALLANAN, DAVID JAMES | MEMBER | 4237166 |
| FIXSEN, VILAYPHONE | CHIEF OPERATING OFFICER | 4585926 |
| FOSTER, CODY GRANT | MEMBER | 4237075 |
| JENSEN, GAIL MARIE | DEPUTY CHIEF COMPLIANCE OFFICER | 1943705 |
| MCNEES, MARTIN WILLIAM | PRESIDENT | 3168410 |
| METCALFE, INC. | OWNER | |
| PIERSON, MELISSA KAY | CHIEF COMPLIANCE OFFICER | 1685017 |
| SCHENDEL, JENNIFER | MEMBER | 6136948 |
| WOODS, SANDRA ANN | FINOP | 6200533 |
Regulatory assets under management
| Total Number of Accounts | 14,100 |
| AUM (Assets Under Management) | $ 2,038,801,712 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
