Anthony Rodriguez
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.
Anthony Rodriguez, who also goes by Anthony W. Rodriguez, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 2000. Anthony had worked at 2 firms and has passed the Series 55, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2002 - May 21, 2013
DIRECT ACCESS PARTNERS LLC
November 27, 2001 - November 20, 2002
BREAN MURRAY & CO., INC.
February 6, 2001 - November 16, 2001
BREAN MURRAY & CO., INC.
January 10, 2000 - November 30, 2000
BREAN MURRAY & CO., INC.
State Registrations and Notice Filings
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Exams
Series 55
Date: 11/22/2010
Limited Representative-Equity Trader ExamSeries 25
Date: 1/11/2000
NYSE Trading Assistant ExaminationCurrent Firm
DIRECT ACCESS PARTNERS LLC
CRD#: 120950 / SEC#: , 8-65361
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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