Alison R. Rodden
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.
Alison Ranae Rodden, who also goes by Alison R Riley, Alison R Rodden, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 2006. Alison had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2016 - March 29, 2018
TD AMERITRADE, INC.
January 20, 2011 - August 19, 2016
TD AMERITRADE CLEARING, INC.
June 8, 2006 - December 15, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 8, 2006 - August 27, 2013
TD AMERITRADE, INC.
May 19, 2006 - August 27, 2013
TD AMERITRADE, 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
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
