Cesar O. Rodriguez

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CRD#: 4451732

Professional summary

Cesar Omar Rodriguez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Cesar is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Cesar had worked at 12 firms, which includes AVENIR FINANCIAL GROUP, AMERICAN TRUST INVESTMENT SERVICES INC., NATIONAL SECURITIES CORPORATION, CHICAGO INVESTMENT GROUP LLC, WINDSOR STREET CAPITAL LP, CHARLES MORGAN SECURITIES INC., THINKEQUITY LLC, J.H. DARBIE & CO. INC., JOSEPH GUNNAR & CO. LLC, JOSEPH STEVENS & CO. INC., GUNNALLEN FINANCIAL INC, CHASE INVESTMENT SERVICES CORP..

Question & Answer

Are you a "fiduciary"?

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

July 1, 2013 - April 27, 2015

AVENIR FINANCIAL GROUP

CRD#: 148490

Bloomingdale, IL

Past

January 23, 2012 - July 23, 2013

AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001

WHITING, IN

Past

July 26, 2010 - January 20, 2012

NATIONAL SECURITIES CORPORATION

CRD#: 7569

WHEATON, IL

Past

January 15, 2010 - July 13, 2010

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

CHICAGO, IL

Past

January 14, 2009 - March 11, 2009

NATIONAL SECURITIES CORPORATION

CRD#: 7569

OAKBROOK TERRACE, IL

Past

November 19, 2008 - January 14, 2009

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

Past

September 15, 2008 - November 14, 2008

CHARLES MORGAN SECURITIES, INC.

CRD#: 138887

NEW YORK, NY

Past

July 15, 2008 - October 10, 2008

THINKEQUITY LLC

CRD#: 20996

NEW YORK, NY

Past

May 12, 2008 - May 28, 2008

J.H. DARBIE & CO., INC.

CRD#: 43520

NEW YORK, NY

Past

May 15, 2007 - June 27, 2007

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

NEW YORK, NY

Past

March 13, 2007 - March 26, 2007

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

January 17, 2007 - March 2, 2007

GUNNALLEN FINANCIAL, INC

CRD#: 17609

AURORA, IL

Past

June 29, 2006 - January 9, 2007

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

BRONX, NY

Past

January 26, 2006 - March 22, 2006

WINDSOR STREET CAPITAL, LP

CRD#: 34171

NEW YORK, NY

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

State Security Law Exam

Series 63

Date: 7/8/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/27/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/25/2006

General Securities Representative Examination

Current Firm

AVENIR FINANCIAL GROUP

AVENIR FINANCIAL GROUP | AVENIR FINANCIAL GROUP, INC.

CRD#: 148490 / SEC#: , 8-68031

Terminated by SEC on 05/11/2016

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Contact information

Main Address

Mailing Address

Phone number

Established

Wyoming since 07/26/2010

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
ALLEN, DAVID ARTHUR	PASSIVE INVESTOR	2500427
CLEMENTS, MICHAEL TODD	CEO,CCO	1702071
PASQUESI, MAURO	PASSIVE INVESTOR OWNER	6148602
BABOULIS, LINDA	PASSIVE INVESTOR	6441448
CLEMENTS, JUDITH	PASSIVE INVESTOR	6432441

Disclosures

Regulatory Event	4
Arbitration	3

Red Flags

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Firm Stability Insights

Cesar O. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN TRUST INVESTMENT SERVICES, INC.

NATIONAL SECURITIES CORPORATION

CHICAGO INVESTMENT GROUP, LLC

NATIONAL SECURITIES CORPORATION

WINDSOR STREET CAPITAL, LP

CHARLES MORGAN SECURITIES, INC.

THINKEQUITY LLC

J.H. DARBIE & CO., INC.

JOSEPH GUNNAR & CO. LLC

JOSEPH STEVENS & CO., INC.

GUNNALLEN FINANCIAL, INC

CHASE INVESTMENT SERVICES CORP.

WINDSOR STREET CAPITAL, LP

State Registrations and Notice Filings

Exams

Series 63

Date: 7/8/2008

SIE

Date: 4/27/2015

Series 7

Date: 1/25/2006

Current Firm

AVENIR FINANCIAL GROUP

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AVENIR FINANCIAL GROUP

TRUST BUT VERIFY

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