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JR

Jorge E. Rodriguez

MARATHON CAPITAL MARKETS
New York, NY 10017
Some features on this profile are disabled
CRD#: 2929350
JR

Professional summary

Jorge Eduardo Rodriguez is a registered financial professional currently at MARATHON CAPITAL MARKETS, LLC located in New York, New York.

Jorge is registered as a RR (Registered Representative) and started their career in finance in 1997. Jorge has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jorge Eduardo Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 31, 2019 - Present

MARATHON CAPITAL MARKETS, LLC

Office #1: 280 Park Ave, Fl 26e, New York, NY 10017
BD
CRD#: 103767
New York, NY
Past

January 31, 2012 - October 23, 2018

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
NEW YORK, NY
Past

September 9, 2009 - October 31, 2011

ALADDIN CAPITAL LLC

BD
CRD#: 103766
STAMFORD, CT
Past

May 30, 2001 - August 19, 2009

COMMERZ MARKETS LLC

BD
CRD#: 41957
NEW YORK, NY
Past

October 31, 1997 - March 13, 2001

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/31/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/30/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARATHON CAPITAL MARKETS, LLC
GOLDEN FORTUNES SECURITIES, INC. | MARATHON CAPITAL MARKETS, LLC | MARATHON CAPITAL MARKETS, INC. | MARATHON CAPITAL | MADISON MERCHANT PARTNERS, INC.

CRD#: 103767 / SEC#: , 8-52256

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
200 W. Madison Street Suite 3700, Chicago, IL 60606
Mailing Address
200 W. Madison Street Suite 3700, Chicago, IL 60606
Phone number
(312) 989-1350
Established
Delaware since 01/01/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (35 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MARATHON CAPITAL, LLCSHAREHOLDER
BRANDT, RICHARD THEODORE IIMANAGER4762272
CAMPBELL, ROBERT NMNFINOP1349154
GRANT, TERENCE ROBERTMANAGER3053787
HECKMAN, CASS KIKUKOCHIEF COMPLIANCE OFFICER6835511
SHANAHAN, MATTHEWMANAGER2839069

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.

Company Information

MARATHON CAPITAL MARKETS, LLC

CRD#: 103767New York, NY 10017

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