Roderick J. Guerin
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 James Guerin, who also goes by Rod Guerin, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 2000. Roderick had worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2013 - December 26, 2013
M BARC INVESTMENT GROUP, INC.
August 19, 2010 - August 26, 2011
MORGAN STANLEY
July 22, 2010 - August 26, 2011
MORGAN STANLEY
July 16, 2007 - April 1, 2010
MIZUHO SECURITIES USA LLC
April 7, 2000 - November 27, 2001
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
M BARC INVESTMENT GROUP, INC.
CRD#: 41082 / SEC#: , 8-49297
Contact information
Documents
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.
