RL
Rodrigue Lors
WILMINGTON CAPITAL SECURITIES
Westbury, NY 11590
Some features on this profile are disabled
CRD#: 4379214
RL
Professional summary
Rodrigue Lors, who also goes by Rodrique Lors, is a registered financial professional currently at WILMINGTON CAPITAL SECURITIES, LLC located in Westbury, New York.
Rodrigue is registered as a RR (Registered Representative) and started their career in finance in 2005. Rodrigue has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rodrique Lors
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.
CRS (Client Relationship Summary) - BD
Click below to view Rodrigue Lors's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 4, 2017 - Present
WILMINGTON CAPITAL SECURITIES, LLC
Office #1: 1025 Old Country Road Suite 408, Westbury, NY 11590RIA
BD
CRD#: 133839
Westbury, NY
Past
July 20, 2007 - October 5, 2017
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
WESTBURY, NY
Past
June 29, 2005 - August 14, 2007
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
WESTBURY, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/28/2019)
RR
California(10/4/2017)
RR
Florida(10/4/2017)
RR
Georgia(10/4/2017)
RR
Idaho(10/5/2017)
RR
Kansas(9/24/2020)
RR
Louisiana(10/4/2017)
RR
Michigan(10/9/2017)
RR
Montana(6/11/2018)
RR
Nevada(10/15/2018)
RR
New Mexico(8/28/2024)
RR
New York(10/10/2017)
RR
Ohio(11/17/2019)
RR
Oregon(11/13/2019)
RR
Pennsylvania(10/11/2017)
RR
South Carolina(10/4/2017)
RR
Texas(10/4/2017)
RR
Utah(5/24/2019)
RR
Washington(5/31/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
WC
WILMINGTON CAPITAL SECURITIES, LLC
ALLELE CAPITAL PARTNERS | WILMINGTON CAPITAL SECURITIES, LLC | LIBERTY CROSSING CAPITAL MARKETS, LLC | GHS CAPITAL MANAGEMENT, LLC | FOREFRONT WEALTH MANAGEMENT | DAVID E. ASTORR, INC. | DAVID E. ASTORR INC. | CLARK CAPITAL
CRD#: 133839 / SEC#: 801-101483, 8-67149
RIA
Registered Investment Advisory firm - SEC (7/27/2015 Approved)New Jersey
Registered Investment Advisory firm - SEC (7/28/2015 Terminated)New York
Registered Investment Advisory firm - SEC (4/6/2016 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information
Main Address
666 Old Country Road Suite 505, Garden City, NY 11530
Mailing Address
666 Old Country Road Suite 505, Garden City, NY 11530
Phone number
(516) 750-6200
Established
New York since 11/18/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
6
SEC notice filing (7 States and Territories)
FINRA licenses (49 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILMINGTON CAPITAL GROUP, INC. | PARENT COMPANY | |
| COLUMBO, JOSEPH DONALD | CHAIRMAN OF BROKER DEALER, GENERAL PRINCIPAL, GOVERNMENT SECURITIES PRINCIPAL, MSRB PRINCIPAL, ELECTED MANAGER | 823524 |
| DORUSHKIN, RONALD BRETT | CEO OF BROKER DEALER, GENERAL PRINCIPAL, ELECTED MANAGER | 2245185 |
| LEE, DENNIS PETER | CHIEF COMPLIANCE OFFICER AND AML COMPLIANCE OFFICER OF BROKER DEALER AND INVESTMENT ADVISOR, REGISTERED OPTIONS PRINCIPAL | 6008539 |
| MIKES, JOHN | PRESIDENT OF BROKER DEALER, GENERAL SECURITIES PRINCIPAL, ELECTED MANAGER,OSJ SUPERVISOR | 2458544 |
| VITTOR, GREG TODD | FINOP, PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER | 1864219 |
Regulatory assets under management
| Total Number of Accounts | 279 |
| AUM (Assets Under Management) | $ 258,250,437 |
Disclosures
| Regulatory Event | 2 |
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.
