David Rodriguez
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.
David Rodriguez was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 9 firms and has passed the Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2012 - September 20, 2012
CHIMERA SECURITIES, LLC
September 7, 2011 - November 30, 2011
CHIMERA SECURITIES, LLC
August 24, 2006 - November 17, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
May 4, 2006 - August 25, 2006
G-2 TRADING,LLC
August 23, 2002 - March 4, 2003
DOMESTIC SECURITIES, INC.
July 13, 2000 - December 21, 2001
NEBRASKA HUDSON COMPANY, INC.
May 12, 1998 - September 1, 1998
SALOMON BROTHERS INC.
May 12, 1998 - April 14, 2000
CITIGROUP GLOBAL MARKETS INC.
June 19, 1997 - April 30, 1998
PRUDENTIAL EQUITY GROUP, LLC
July 22, 1996 - February 5, 1997
CONTINENTAL BROKER-DEALER CORP.
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 55
Date: 2/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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