Mary A. 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.
Mary Amely Rodriguez was a registered financial professional .
Mary is a previously registered financial professional and started their career in finance in 1997. Mary had worked at 7 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2012 - December 18, 2013
NATIVEONE INSTITUTIONAL TRADING, LLC.
February 1, 2007 - November 30, 2007
HYY FORBES, LLC
February 14, 2003 - June 4, 2015
RAYMOND C. FORBES & CO., INC.
February 19, 1999 - February 5, 2014
E. H. SMITH JACOBS & CO., INC.
July 27, 1998 - January 22, 1999
SHARPE CAPITAL, INC.
July 3, 1997 - August 4, 1998
ASH FINANCIAL CORP.
March 6, 1997 - May 13, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, 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 55
Date: 11/18/1999
Limited Representative-Equity Trader ExamCurrent Firm
NATIVEONE INSTITUTIONAL TRADING, LLC.
CRD#: 122430 / SEC#: , 8-65496
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIVEONE FINANCIAL HOLDINGS, LLC | OWNER | |
| SMITH, DENNIS KEVIN | CHIEF COMPLIANCE OFFICER | 836628 |
Disclosures
| Regulatory Event | 5 |
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.
