Alfred V. Rodriguez
Professional summary
Alfred V Rodriguez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Alfred is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Alfred had worked at 5 firms, which includes CITICORP INVESTMENT SERVICES, OSAIC WEALTH INC., J.J.B. HILLIARD W.L. LYONS LLC, PNC BROKERAGE CORP, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2004 - January 12, 2006
CITICORP INVESTMENT SERVICES
September 20, 2004 - January 12, 2006
CITICORP INVESTMENT SERVICES
May 14, 2003 - August 16, 2004
OSAIC WEALTH, INC.
June 1, 2002 - May 20, 2003
J.J.B. HILLIARD, W.L. LYONS, LLC
April 18, 2002 - June 1, 2002
PNC BROKERAGE CORP
November 9, 2000 - March 16, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
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