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DR

Dalberto N. Rodriguez

Some features on this profile are disabled
CRD#: 4200254
DR

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.

Dalberto Noel Rodriguez was a registered financial professional .

Dalberto is a previously registered financial professional and started their career in finance in 2008. Dalberto had worked at 3 firms and has passed the SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 23, 2018 - April 2, 2018

COINBASE SECURITIES, INC.

BD
CRD#: 151143
NEW YORK, NY
Past

March 22, 2018 - April 2, 2018

COINBASE CAPITAL MARKETS CORP

BD
CRD#: 10722
NEW YORK, NY
Past

December 18, 2008 - January 24, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN DIEGO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 4/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/15/2015
Financial and Operations Principal Examination

Current Firm

CS
COINBASE SECURITIES, INC.
COINBASE SECURITIES | XPERT SECURITIES, INC. | XATS, INC. | VENOVATE MARKETPLACE, INC. | OPEN MARKET, INC. | COINBASE SECURITIES, INC.

CRD#: 151143 / SEC#: , 8-68337

BD
Terminated by SEC on 01/08/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 03/19/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
COINBASE GLOBAL, INC.DIRECT OWNER
COMPA, GREGORYCHIEF COMPLIANCE OFFICER5324133
COOK, KATHERINE RENEEEXECUTIVE PRINCIPAL3076337
FELDMAN, RICHARD MARKFINANCIAL OPERATIONS PRINCIPAL, POO2273453
TUSAR, GREGORY ALEXANDERCEO2426485

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.

Company Information

COINBASE SECURITIES, INC.

CRD#: 151143

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