Suzanne M. Rode
Professional summary
Suzanne Marie Rode, who also goes by Suzanne Marie Hunt, Suzanne M Rode, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.
Suzanne is registered as a RR (Registered Representative) and started their career in finance in 2004. Suzanne has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Suzanne Marie Rode's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2022 - Present
CAPITAL ONE SECURITIES, INC.
Office #1: 299 Park Avenue 28th Floor, New York, NY 10171August 8, 2013 - October 20, 2021
FIFTH THIRD SECURITIES, INC.
April 22, 2010 - September 30, 2011
UBS SECURITIES LLC
February 9, 2009 - February 16, 2010
MACQUARIE CAPITAL (USA) INC.
March 23, 2005 - May 23, 2008
UBS SECURITIES LLC
November 2, 2004 - March 17, 2005
LEHMAN BROTHERS 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
(1/9/2023)
(6/15/2022)
(6/15/2022)
(6/15/2022)
(6/15/2022)
(6/15/2022)
(6/15/2022)
(6/15/2022)
(6/15/2022)
(6/15/2022)
(6/15/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CAPITAL ONE SECURITIES, INC.
CRD#: 44158 / SEC#: , 8-50561
Contact information
FINRA licenses (12 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL ONE FINANCIAL CORPORATION | 100% SHAREHOLDER | |
| GIBNEY, JOSEPH DONOUGH | DIRECTOR | 3117394 |
| HALPRIN, GABRIELLE BAILLEUX | CHIEF FINANCIAL OPERATIONS OFFICER (FINOP) | 5087341 |
| JOHNSON, RUSSELL ALAN | DIRECTOR | 2785704 |
| KUCERA, DAVID JOHN | DIRECTOR | 2598213 |
| MULLIGAN, ROBERT | CHIEF COMPLIANCE OFFICER | 1584973 |
| NAKAMURA, SEIJI PETER | DIRECTOR | 2561992 |
| PORPHY, JEFFREY R | DIRECTOR | 4107535 |
| TULIP, STEVEN ANDREW | PRESIDENT AND DIRECTOR | 2540149 |
Disclosures
| Regulatory Event | 3 |
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.
