Rodney Dale Kubicek is a registered financial professional at MUFG SECURITIES AMERICAS INC. located in New York, New York.
Rodney is registered as a RR (Registered Representative) and started their career in finance in 2000. Rodney has worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Before working with a financial advisor, it is imperative to see whether or not they have any disclosures and if they do, whether or not you are comfortable with the disclosures that are on their record.
Disclosures in the financial services industry fall under the following categories: criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments.
Please watch the video below to get a better understanding of what disclosures are and what they look like, then click the button underneath that to get immediate access to see whether or not this financial advisor has any disclosures.
STATE SECURITY LAW EXAM ()
GENERAL INDUSTRY/PRODUCTS EXAM ()
PRINCIPAL/SUPERVISORY EXAM ()
STATE REGISTRATIONS (2)
New York (4/1/2017)
SRO REGISTRATIONS (1)
Some financial advisors may work at more than one firm. Click the employer below (current or previous) to view their data
MUFG SECURITIES AMERICAS INC. (#19685)
1221 Avenue Of The Americas 6th Floor, New York, NY, 10020-1001
4/1/2017 - Current
PREVIOUS EMPLOYERS (2)
MUFG AMERICAS CORPORATE ADVISORY, INC. (#10151)
1/20/2015 - 4/1/2017
ABN AMRO INCORPORATED (#15776)
12/20/2000 - 1/25/2002
Rodney Dale Kubicek
Experience: 22 years / 3 firms
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Disclosures range from criminal or civil penalties, customer disputes, fines, regulatory actions, financial, civil bonds, liens, separations with employers or judgments. Access disclosures with a free AdvisorCheck membership.
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