John 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.
John Rodriguez JR, who also goes by John Rodriguez, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1997. John had worked at 4 firms and has passed the Series 63 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
September 12, 2001 - October 4, 2002
HARRISON SECURITIES, INC.
January 2, 2001 - September 7, 2001
GLOBAL CAPITAL SECURITIES CORPORATION
December 14, 2000 - January 2, 2001
GLOBAL CAPITAL MARKETS, LLC
February 12, 1997 - September 28, 2000
LADENBURG CAPITAL MANAGEMENT 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
HARRISON SECURITIES, INC.
CRD#: 14103 / SEC#: , 8-30546
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
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.
