Rolando J. Jarvis
Professional summary
Rolando Julian Jarvis was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rolando is a previously registered financial professional and started their career in finance in 1996. Prior to being barred, Rolando had worked at 2 firms, which includes NEBRASKA HUDSON COMPANY INC., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 1997 - December 21, 2001
NEBRASKA HUDSON COMPANY, INC.
March 15, 1996 - August 7, 1997
ROYCE INVESTMENT GROUP, 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
NEBRASKA HUDSON COMPANY, INC.
CRD#: 27501 / SEC#: , 8-43127
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITRADE HOLDING CORPORATION | PARENT CORPORATION | |
| RICKETTS, JOHN PETER | VICE CHAIRMAN / PRESIDENT/CROP/SROP | 2446207 |
| CAVANAUGH, JOHN STEPHEN III | DIRECTOR OF COMPLIANCE | 2032977 |
| ENGEL, BRYCE BRADLEY | VICE PRESIDENT - OPERATIONS | 2748956 |
| GIBSON, MARK ALAN | VICE PRESIDENT - CLIENT SERVICES AND TECHNOLOGY SUPPORT | 2411853 |
| HEAD, MICHAEL JAMES | SECRETARY | 4022730 |
| LANGWITH, JOHN EDMUND III | VICE PRESIDENT - FINANCE; FINOP | 2709446 |
| WOOD, WILLIAM ARTHUR | EXECUTIVE VICE PRESIDENT - TRADING | 2196678 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 16 |
Red Flags
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