Karl H. Rodriguez
Professional summary
Karl Henry Rodriguez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Karl is a previously registered financial advisor and started their career in finance in 1995. Prior to being barred, Karl had worked at 10 firms, which includes M&T SECURITIES INC., HSBC SECURITIES (USA) INC., CHASE INVESTMENT SERVICES CORP., TOUCHSTONE SECURITIES INC., JOHN HANCOCK DISTRIBUTORS LLC, MANULIFE WOOD LOGAN INC., FIRST UNION BROKERAGE SERVICES INC., MORGAN STANLEY DW INC., GRUNTAL & CO. L.L.C., LAIDLAW GLOBAL SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 24, 2010 - February 4, 2011
M&T SECURITIES, INC.
August 24, 2010 - February 4, 2011
M&T SECURITIES, INC.
July 13, 2006 - July 28, 2010
HSBC SECURITIES (USA) INC.
January 24, 2006 - July 28, 2010
HSBC SECURITIES (USA) INC.
June 29, 2005 - January 4, 2006
CHASE INVESTMENT SERVICES CORP.
June 4, 2004 - July 12, 2005
TOUCHSTONE SECURITIES, INC.
October 9, 2002 - March 30, 2004
JOHN HANCOCK DISTRIBUTORS LLC
January 1, 2002 - March 30, 2004
JOHN HANCOCK DISTRIBUTORS LLC
June 9, 1999 - January 1, 2002
MANULIFE WOOD LOGAN, INC.
January 1, 1999 - February 10, 1999
FIRST UNION BROKERAGE SERVICES, INC.
April 18, 1997 - December 8, 1998
MORGAN STANLEY DW INC.
July 31, 1996 - April 3, 1997
GRUNTAL & CO., L.L.C.
June 4, 1996 - April 3, 1997
GRUNTAL & CO., L.L.C.
December 20, 1995 - June 7, 1996
LAIDLAW GLOBAL 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
Current Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 1 |
Red Flags
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