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MR

Marcus C. Rodriguez

Some features on this profile are disabled
CRD#: 2561801
MR

Professional summary

Marcus Carlos Rodriguez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Marcus is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Marcus had worked at 16 firms, which includes GLOBAL-AMERICAN INVESTMENTS INC., TITLE SECURITIES INC., GLB TRADING INC, TOUCHPOINT SECURITIES CORP., CHICAGO SECURITIES CORP, TZERO SECURITIES LLC, FUSION ANALYTICS SECURITIES LLC, BRIDGE ADVISORS INC. DBA TRADINGBLOCK ADVISORS, TRADINGBLOCK, RBR SECURITIES INC., BELL INVESTMENT GROUP INC., SEIDEL & CO. LLC, INVESTMENT COUNSELING INC., G. F. TATE & CO. INC., PRESTIGE FINANCIAL CENTER INC., KJM SECURITIES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 13, 2011 - April 25, 2014

GLOBAL-AMERICAN INVESTMENTS, INC.

BD
CRD#: 41802
WALNUT, CA
Past

January 2, 2009 - August 5, 2011

TITLE SECURITIES, INC.

BD
CRD#: 30057
CHICAGO, IL
Past

February 5, 2007 - December 3, 2008

GLB TRADING, INC

BD
CRD#: 125363
CHICAGO, IL
Past

March 1, 2006 - November 21, 2007

TOUCHPOINT SECURITIES CORP.

BD
CRD#: 137224
CHICAGO, IL
Past

September 6, 2005 - January 11, 2008

CHICAGO SECURITIES CORP

RIA
CRD#: 136946
CHICAGO, IL
Past

July 18, 2005 - March 30, 2006

TZERO SECURITIES, LLC

BD
CRD#: 123421
JERSEY CITY, NJ
Past

March 22, 2005 - July 14, 2005

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
CORAL SPRINGS, FL
Past

October 18, 2004 - February 22, 2005

BRIDGE ADVISORS, INC. DBA TRADINGBLOCK ADVISORS

RIA
CRD#: 132613
CHICAGO, IL
Past

May 14, 2004 - March 15, 2005

TRADINGBLOCK

BD
CRD#: 128605
CHICAGO, IL
Past

March 22, 2000 - June 30, 2003

RBR SECURITIES, INC.

BD
CRD#: 103560
SAN ANTONIO, TX
Past

May 24, 1999 - April 19, 2000

BELL INVESTMENT GROUP, INC.

BD
CRD#: 44749
NEW YORK, NY
Past

September 29, 1998 - April 19, 1999

SEIDEL & CO., LLC

BD
CRD#: 42821
NEW YORK, NY
Past

May 21, 1998 - June 4, 1998

INVESTMENT COUNSELING, INC.

BD
CRD#: 44230
FT LAUDERDALE, FL
Past

August 15, 1996 - August 18, 1998

G. F. TATE & CO., INC.

BD
CRD#: 35587
ABERDEEN, NJ
Past

February 6, 1996 - August 6, 1996

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
NEW YORK, NY
Past

November 14, 1994 - May 30, 1996

KJM SECURITIES, INC.

BD
CRD#: 20277
BRONXVILLE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/25/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 12/5/2005
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 7/9/2004
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/12/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 12/17/2010
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/23/1995
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/25/1995
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/2/1995
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/7/1995
Registered Options Principal Examination

Current Firm

GI
GLOBAL-AMERICAN INVESTMENTS, INC.
GLOBAL-AMERICAN INVESTMENTS, INC.

CRD#: 41802 / SEC#: , 8-49582

BD
Terminated by SEC on 01/23/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Arizona since 09/09/1996
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL-AMERICAN HOLDINGS, CORP.100% OWNER
CONLIN, JOHN FRANCIS IIPRESIDENT & CCO1704085
CONLIN, JOHN FRANCIS IICHIEF OPERATING OFFICER1704085
LEWKE, WILLIAM FREDERICKCEO & CHAIRMAN2226635
SWIRSKY, CEDRIC MARCHELLFINOP2292281

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.

Company Information

GLOBAL-AMERICAN INVESTMENTS, INC.

CRD#: 41802

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