Zaida M. Rodriguez Ocasio
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.
Zaida Maria Rodriguez Ocasio, who also goes by Zaida Maria Rodriguez, was a registered financial professional .
Zaida is a previously registered financial professional and started their career in finance in 2001. Zaida had worked at 1 firm and has passed the Series 99TO, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2001 - December 31, 2023
RD CAPITAL GROUP, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/4/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
RD CAPITAL GROUP, INC.
CRD#: 37470 / SEC#: , 8-47759
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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