Rodger O. Riney
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.
Rodger Odell Riney was a registered financial professional .
Rodger is a previously registered financial professional and started their career in finance in 1969. Rodger had worked at 4 firms and has passed the Series 63, SIE, Series 1, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2018 - January 17, 2019
TD AMERITRADE, INC.
May 23, 1980 - February 26, 2018
SCOTTRADE, INC.
April 26, 1978 - January 21, 1980
CONESTOGA SECURITIES, INC.
December 22, 1969 - January 31, 1980
EDWARD JONES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 12/6/1969
Registered Representative ExaminationF04
Date: 3/22/1980
Financial Principal ExaminationSeries 40
Date: 6/23/1973
Registered Principal ExaminationCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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