Rodd K. Kauffman
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.
Rodd Kenneth Kauffman was a registered financial professional .
Rodd is a previously registered financial professional and started their career in finance in 1997. Rodd had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 18, 2022 - October 18, 2022
DINOSAUR FINANCIAL GROUP, L.L.C
January 23, 2019 - June 28, 2021
HAITONG INTERNATIONAL SECURITIES (USA) INC.
January 1, 2017 - June 28, 2021
HAITONG SECURITIES USA LLC
August 6, 2001 - May 23, 2011
GRAMERCY FINANCIAL SERVICES LLC
March 5, 1998 - April 24, 2000
DEUTSCHE BANK SECURITIES INC.
August 12, 1997 - March 11, 1998
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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