Nelson J. 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.
Nelson John Rodriguez, who also goes by Nelson J Rodriguez, was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 1998. Nelson had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2019 - March 22, 2022
GLOBAL ATLANTIC DISTRIBUTORS, LLC
March 25, 2017 - June 12, 2019
MML INVESTORS SERVICES, LLC
March 25, 2017 - June 12, 2019
MML INVESTORS SERVICES, LLC
April 20, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 5, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 28, 2013 - February 9, 2016
NYLIFE SECURITIES LLC
December 11, 2004 - June 23, 2008
METLIFE INVESTORS DISTRIBUTION COMPANY
January 16, 2004 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
June 21, 2002 - December 1, 2003
NEW ENGLAND SECURITIES
October 20, 1998 - December 1, 2003
NEW ENGLAND SECURITIES
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GLOBAL ATLANTIC DISTRIBUTORS, LLC
CRD#: 8326 / SEC#: , 8-25027
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GLOBAL ATLANTIC (FIN) COMPANY | OWNER | |
| BICKLER, JASON ALEXANDER | PRESIDENT AND MANAGER | 4164884 |
| MOORCROFT, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER | 4258952 |
| PAULOUSKY, MICHAEL RYAN | TREASURER | 7339297 |
| RAMOS, SAMUEL | GENERAL COUNSEL AND SECRETARY | 6722343 |
| RIP, OLGA | FINOP AND CHIEF FINANCIAL OFFICER | 5440553 |
| RUTHERFORD, KELLY JUNE | SENIOR VICE-PRESIDENT | 7282305 |
| SIEGEL, DEAN CYRUS | VICE PRESIDENT | 3224832 |
| WEISS, DAVID LEE | SENIOR VICE PRESIDENT | 2345057 |
Disclosures
| Regulatory Event | 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.
