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Claus H. Rodriguez

Some features on this profile are disabled
CRD#: 2933870
CR

Professional summary

Claus Helard Rodriguez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Claus is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Claus had worked at 1 firm, which includes MASON HILL & CO. INC..

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2000 - July 11, 2000

MASON HILL & CO., INC.

BD
CRD#: 38308
NEW YORK, NY
Past

March 25, 1998 - December 23, 1999

MASON HILL & CO., INC.

BD
CRD#: 38308
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/8/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/7/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/30/1998
General Securities Principal Examination

Current Firm

MH
MASON HILL & CO., INC.
MASON HILL & CO., INC.

CRD#: 38308 / SEC#: , 8-48178

BD
Cancelled by SEC on 06/13/2003
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/15/1995
Firm type
Corporation
Fiscal year end
March
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
MASON HILL HOLDINGS, INC.SHAREHOLDER
HAGAN, LEONARD ALLANFINOP2582328
KINSLEY, CHRISTOPHER JACOBPRESIDENT/CEO715670

Disclosures

Regulatory Event1
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

MASON HILL & CO., INC.

CRD#: 38308

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