Thomas C. Rodenberg
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.
Thomas C Rodenberg, who also goes by Thomas Charles Rodenberg, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1997. Thomas had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 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
September 21, 2007 - March 21, 2011
THEIN FINANCIAL GROUP
August 23, 2004 - August 5, 2021
ON INVESTMENT MANAGEMENT CO
August 2, 2004 - August 5, 2021
THE O.N. EQUITY SALES COMPANY
March 10, 2003 - March 3, 2004
FIFTH THIRD SECURITIES, INC.
September 11, 1997 - December 5, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Exams
Current firm
No current employment
Red Flags
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