Prospero D. Roda

RODA INVESTMENT MANAGEMENT

Burtonsville, MD

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CRD#: 3204980

Professional summary

Prospero Darrell Roda is a registered financial advisor currently at RODA INVESTMENT MANAGEMENT, LLC located in Burtonsville, Maryland.

Prospero is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Prospero has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Prospero Darrell Roda's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 7, 2006 - Present

RODA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 140999

Burtonsville, MD

Past

October 5, 2004 - May 31, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

COLUMBIA, MD

Past

June 10, 2004 - May 31, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

COLUMBIA, MD

Past

December 19, 2001 - June 14, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 13, 1999 - January 3, 2002

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

District of Columbia
(3/2/2007)

IAR

Maryland
(7/12/2006)

IAR

Virginia
(7/7/2006)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/4/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/21/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/12/1999

General Securities Representative Examination

Current Firm

RODA INVESTMENT MANAGEMENT, LLC

CRD#: 140999 / SEC#:

District of Columbia

Registered Investment Advisory firm - (6/27/2006 Approved)

Maryland

Registered Investment Advisory firm - (7/12/2006 Approved)

Virginia

Registered Investment Advisory firm - (7/7/2006 Approved)

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Contact information

Main Address

Burtonsville, MD

Mailing Address

P.o. Box 1870, Ellicott City, MD 21041

Phone number

(866) 389-2382

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	95
AUM (Assets Under Management)	$ 19,000,000

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.

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Prospero D. Roda

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Prospero Darrell Roda's CRS (Customer Relationship Summary).

Certified licenses

Experience

RODA INVESTMENT MANAGEMENT, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

GLOBAL CAPITAL SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 10/4/2004

Series 63

Date: 4/21/1999

Series 7

Date: 4/12/1999

Current Firm

RODA INVESTMENT MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RODA INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

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