Herbert 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.
Herbert Rodriguez JR, who also goes by Herbert Rodriguez, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1997. Herbert had worked at 7 firms and has passed the Series 63 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
June 10, 2002 - July 23, 2002
INDIANAPOLIS SECURITIES, INC.
January 15, 2002 - July 10, 2002
JOSEPH GUNNAR & CO. LLC
April 16, 2001 - February 25, 2002
H.C.WAINWRIGHT & CO., LLC
July 20, 2000 - March 28, 2001
TRADE.COM ONLINE SECURITIES, INC.
May 8, 2000 - June 28, 2000
AUERBACH, POLLAK & RICHARDSON INC.
October 13, 1998 - April 25, 2000
PRIME CHARTER LTD.
March 23, 1998 - July 24, 1998
AUERBACH, POLLAK & RICHARDSON INC.
November 14, 1997 - March 3, 1998
D. H. BLAIR & CO., 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
INDIANAPOLIS SECURITIES, INC.
CRD#: 10399 / SEC#: , 8-27117
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
| Arbitration | 2 |
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.
