Leonard D. Rodman
Professional summary
Leonard Daniel Rodman is a registered financial advisor currently at ROTHSCHILD CAPITAL PARTNERS located in Potomac, Maryland.
Leonard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Leonard has worked at 3 firms and has passed the Series 65, Series 63, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Leonard Daniel Rodman's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 11, 2024 - Present
ROTHSCHILD CAPITAL PARTNERS
December 5, 2006 - April 5, 2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 15, 2000 - July 27, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
Primary Firm SEC Registration
ROTHSCHILD CAPITAL PARTNERS
CRD#: 161688 / SEC#: 801-73843
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/9/2024)
(6/14/2024)
(6/11/2024)
(6/11/2024)
(6/14/2024)
(6/11/2024)
(6/25/2025)
Exams
Series 55
Date: 5/26/2000
Limited Representative-Equity Trader ExamCurrent Firm
ROTHSCHILD CAPITAL PARTNERS
CRD#: 161688 / SEC#: 801-73843
Contact information
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 76 |
| AUM (Assets Under Management) | $ 467,800,183 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/01/2023 |
Red Flags
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