Dario 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.
Dario Rodriguez, who also goes by Tim Myers, was a registered financial professional .
Dario is a previously registered financial professional and started their career in finance in 1999. Dario had worked at 6 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 20, 2007 - January 23, 2008
ROCKWELL GLOBAL CAPITAL LLC
November 14, 2005 - June 18, 2007
R.M. STARK & CO., INC.
March 24, 2004 - November 11, 2005
NATIONAL SECURITIES CORPORATION
August 22, 2000 - April 7, 2004
THINKEQUITY LLC
July 13, 2000 - August 14, 2000
DALTON KENT SECURITIES GROUP, INC.
May 23, 2000 - July 11, 2000
CARNEGIE INVESTOR SERVICES INC.
March 15, 1999 - May 24, 1999
DALTON KENT SECURITIES GROUP, 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
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
