Roderick D. Mcdonel
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.
Roderick Dorne Mcdonel, who also goes by Rick Mcdonel, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 1973. Roderick had worked at 7 firms and has passed the Series 63, Series 6TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 7, 2003 - October 14, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 18, 1999 - March 24, 2003
VALIC FINANCIAL ADVISORS, INC.
April 5, 1982 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
August 1, 1980 - May 19, 1982
ILG SECURITIES CORPORATION
December 7, 1973 - January 23, 1975
IDS LIFE INSURANCE COMPANY
December 7, 1973 - February 1, 1975
AMERICAN EXPRESS FINANCIAL CORPORATION
December 7, 1973 - November 16, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 7/21/1980
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
Red Flags
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