Reinaldo B. 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.
Reinaldo B Rodriguez, who also goes by Ray Rodriguez, Reinaldo Rodriguez, Reinaldo Rodriguezbruna, was a registered financial advisor .
Reinaldo is a previously registered financial advisor and started their career in finance in 1997. Reinaldo had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2006 - January 4, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
June 15, 2006 - January 4, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
January 26, 2006 - June 14, 2006
INVESTMENT PROFESSIONALS, INC.
January 26, 2006 - June 14, 2006
INVESTMENT PROFESSIONALS, INC.
October 20, 2004 - January 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - January 10, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 26, 2004 - October 20, 2004
QUICK & REILLY, INC.
October 14, 2003 - October 20, 2004
QUICK & REILLY, INC.
July 3, 2003 - October 23, 2003
GUNNALLEN FINANCIAL, INC
November 8, 2002 - January 28, 2003
EDWARD JONES
February 4, 2002 - September 23, 2002
VERAVEST INVESTMENTS, INC.
February 15, 2000 - January 7, 2002
A. G. EDWARDS & SONS, INC.
April 29, 1997 - October 29, 1999
U.S.-WORLDWIDE FINANCIAL SERVICES, 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
FIRST MIDAMERICA INVESTMENT CORPORATION
CRD#: 104476 / SEC#: , 8-52936
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
