Rodgers C. Busbee
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.
Rodgers Chris Busbee was a registered financial professional .
Rodgers is a previously registered financial professional and started their career in finance in 1995. Rodgers had worked at 4 firms and has passed the Series 63, Series 7TO, Series 79TO, SIE, Series 7, Series 79 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2019 - February 2, 2021
TANGENT CAPITAL PARTNERS, LLC
March 8, 2017 - July 23, 2019
G.C. ANDERSEN PARTNERS CAPITAL, LLC
January 17, 2005 - April 30, 2008
UNICREDIT CAPITAL MARKETS LLC
February 23, 1995 - March 6, 1998
CITICORP SECURITIES, INC.
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
Series 7TO
Date: 11/28/2022
General Securities Representative ExaminationSeries 79TO
Date: 11/28/2022
Investment Banking Registered Representative ExaminationCurrent Firm
TANGENT CAPITAL PARTNERS, LLC
CRD#: 146999 / SEC#: , 8-67885
Contact information
FINRA licenses (32 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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