Roderick K. Day
Professional summary
Roderick Kenneth Day was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roderick is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Roderick had worked at 6 firms, which includes CABOT LODGE SECURITIES LLC, IFS SECURITIES, SECURITIES AMERICA INC., CETERA WEALTH SERVICES LLC, ROBERT W. BAIRD & CO. INCORPORATED, NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 18, 2019 - December 3, 2019
CABOT LODGE SECURITIES LLC
November 15, 2018 - November 21, 2019
IFS SECURITIES
June 26, 2009 - November 1, 2018
SECURITIES AMERICA, INC.
April 22, 2004 - June 25, 2009
CETERA WEALTH SERVICES, LLC
July 7, 1999 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
July 7, 1999 - March 1, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
CABOT LODGE SECURITIES LLC
CRD#: 159712 / SEC#: , 8-69009
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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