Rodney D. Adams
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.
Rodney David Adams was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1999. Rodney had worked at 4 firms and has passed the Series 66 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
December 8, 2011 - June 1, 2012
LAWING FINANCIAL INC
November 28, 2011 - December 6, 2011
LAWING FINANCIAL INC
November 17, 2011 - December 31, 2012
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 3, 2000 - December 8, 2000
NATIONAL PLANNING CORPORATION
May 17, 1999 - May 5, 2000
WADDELL & REED
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
LAWING FINANCIAL INC
CRD#: 117178 / SEC#: 801-66270
Contact information
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.
