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RC

Roderick B. Covlin

Some features on this profile are disabled
CRD#: 2753823
RC

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.

Roderick Brandon Covlin, who also goes by Rod Covlin, was a registered financial professional .

Roderick is a previously registered financial professional and started their career in finance in 1996. Roderick had worked at 9 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 9, Series 27, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rod Covlin

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

May 21, 2008 - August 19, 2009

PRAGMA LLC

BD
CRD#: 136453
NEW YORK, NY
Past

August 29, 2006 - September 25, 2007

PETRUZZI SECURITIES, LLC

BD
CRD#: 129228
TOPSHAM, ME
Past

June 28, 2006 - November 24, 2006

TZERO SECURITIES, LLC

BD
CRD#: 123421
SAN CLEMENTE, CA
Past

August 10, 2004 - April 11, 2006

FUSION ANALYTICS SECURITIES LLC

BD
CRD#: 124245
CORAL SPRINGS, FL
Past

March 18, 2002 - July 1, 2004

TRACK DATA SECURITIES CORPORATION

BD
CRD#: 103802
BROOKLYN, NY
Past

June 26, 2001 - April 9, 2002

REVERE SECURITIES LLC

BD
CRD#: 14178
NEW YORK, NY
Past

July 7, 2000 - August 31, 2000

TRACK DATA SECURITIES CORPORATION

BD
CRD#: 103802
BROOKLYN, NY
Past

December 23, 1998 - August 31, 2000

REVERE SECURITIES LLC

BD
CRD#: 14178
NEW YORK, NY
Past

June 29, 1998 - December 11, 1998

SORT SECURITIES, LLC.

BD
CRD#: 44326
NEW YORK, NY
Past

June 20, 1997 - July 6, 1998

LANDMARK SECURITIES CORPORATION

BD
CRD#: 39506
HOUSTON, TX
Past

June 14, 1996 - March 7, 1997

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

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
RR
Series 63
Date: 6/20/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 12/3/1998
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 3/23/1998
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 6/14/2004
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/10/1998
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/21/1997
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/23/1997
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/8/1996
General Securities Principal Examination

Current Firm

PL
PRAGMA LLC
PRAGMA LLC | PRAGMA SECURITIES LLC

CRD#: 136453 / SEC#: , 8-67016

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Hudson Yards Floor 15, New York, NY 10001
Mailing Address
55 Hudson Yards Floor 15, New York, NY 10001
Phone number
(212) 777-0052
Established
New York since 02/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS, INC.OWNER
CIANCIULLI, MICHAEL ROBERTPRINCIPAL FINANCIAL OFFICER, FINOP6980135
MECHNER, DAVID ACEO5002127
PFEIFFER, KARL CURTISCHIEF BUSINESS OFFICER2406297
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

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

PRAGMA LLC

CRD#: 136453

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