Theodore Rodosovich
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.
Theodore Rodosovich, who also goes by Ted Rodosovich Jr, Theodore Rodosovich Jr, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1970. Theodore had worked at 9 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
July 16, 1993 - May 4, 1994
IDS LIFE INSURANCE COMPANY
July 16, 1993 - May 4, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
September 6, 1991 - June 5, 1993
FIRST WALL STREET CORP.
December 7, 1990 - September 10, 1991
ADVEST, INC.
November 15, 1988 - December 12, 1990
CITIGROUP GLOBAL MARKETS INC.
September 26, 1978 - December 9, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
July 2, 1971 - April 13, 1972
UPC SECURITIES INC
May 7, 1970 - July 2, 1971
UPC SECURITIES, 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: 6/12/1974
Registered Representative ExaminationCurrent Firm
IDS LIFE INSURANCE COMPANY
CRD#: 6321 / SEC#: , 8-14124
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERIPRISE FINANCIAL, INC. | SHAREHOLDER | |
| ALVERO, GUMER CRUZ | DIRECTOR, EVP - ANNUITIES | 1975307 |
| BECHTOLD, TIMOTHY VERNON | DIRECTOR, PRESIDENT | 1621000 |
| BERMAN, ARTHUR HOWARD | DIRECTOR, EVP - FINANCE | 4591628 |
| RUETHER, JULIE ANN | CHIEF COMPLIANCE OFFICER | 1090661 |
| SCHWARZMANN, MARK EDWARD | DIRECTOR, CEO, COB | 4742555 |
| STEWART, DAVID KENT | VICE PRESIDENT AND CONTROLLER | 2990869 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
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.
