Rodrick W. Dow
Professional summary
Rodrick Wayne Dow was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rodrick Wayne Dow was a registered financial professional .
Rodrick is a previously registered financial professional and started their career in finance in 1997. Rodrick had worked at 8 firms and has passed the Series 63, SIE 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
August 8, 2016 - March 19, 2018
SECURITIES AMERICA, INC.
August 5, 2016 - March 19, 2018
SECURITIES AMERICA ADVISORS, INC.
January 25, 2013 - August 18, 2016
CETERA INVESTMENT ADVISERS LLC
January 25, 2013 - August 18, 2016
CETERA FINANCIAL SPECIALISTS LLC
January 9, 2013 - February 8, 2013
CENTAURUS FINANCIAL, INC.
January 9, 2013 - February 8, 2013
CENTAURUS FINANCIAL, INC.
July 12, 1999 - January 14, 2013
AVANTAX ADVISORY SERVICES
September 12, 1998 - January 14, 2013
AVANTAX INVESTMENT SERVICES, INC.
March 26, 1997 - June 20, 1997
EDWARD JONES
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
SECURITIES AMERICA, INC.
CRD#: 10205 / SEC#: , 8-26602
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORP. | SHAREHOLDER | |
| CHAFFEE, HAROLD GERARD | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2905661 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| FORD, ERINN JUNE | INTERIM PRESIDENT, DIRECTOR AND CEO | 2176816 |
| GERB, JASON HARRIS | SVP, CHIEF REGULATORY OFFICER | 3021815 |
| HULETT, KIRK JESSE | EXECUTIVE VICE PRESIDENT, STRATEGY & PRACTICE MANAGEMENT, DIRECTOR | 2528380 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EXECUTIVE VICE PRESIDENT, DIRECTOR | 2627931 |
| SCHMIDT, DAVID MARTIN | TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 5675524 |
Disclosures
| Regulatory Event | 58 |
| Arbitration | 27 |
| Bond | 5 |
Red Flags
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