Clifford A. Rodd
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.
Clifford Artemus Rodd, who also goes by Cliff Rodd, Clifford A Rodd, Clifford Rodd, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1959. Clifford had worked at 5 firms and has passed the Series 63, PC 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
June 14, 1997 - December 31, 2000
PRIME CAPITAL SERVICES, INC.
October 14, 1993 - April 29, 1997
GUARDIAN INVESTOR SERVICES LLC
November 2, 1988 - September 14, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
September 26, 1978 - October 24, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 1959 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 10/23/1959
Registered Representative ExaminationCurrent Firm
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
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.
