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RA

Roderick P. Abad

CITIC SECURITIES INTERNATIONAL USA
New York, NY 10036
Some features on this profile are disabled
CRD#: 4864619
RA

Professional summary

Roderick Pulido Abad, who also goes by Eric Abad, is a registered financial professional currently at CITIC SECURITIES INTERNATIONAL USA, LLC located in New York, New York.

Roderick is registered as a RR (Registered Representative) and started their career in finance in 2022. Roderick has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric Abad

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) - BD

Click below to view Roderick Pulido Abad'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®
None

Experience

Current

January 21, 2022 - Present

CITIC SECURITIES INTERNATIONAL USA, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY 10036
BD
CRD#: 158266
New York, NY

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
New York
(2/21/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/21/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/9/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CITIC SECURITIES INTERNATIONAL USA, LLC
CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266 / SEC#: , 8-68887

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Mailing Address
1155 Avenue Of The Americas 17th Floor, New York, NY 10036
Phone number
(212) 549-4791
Established
Delaware since 05/18/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CLSA AMERICAS HOLDINGS, INC.MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIECHIEF COMPLIANCE OFFICER2441597
HOLUB, WILLIAM CHARLESBOARD MEMBER, CHIEF FINANCIAL OFFICER - FINOP2680290
LI, JIONGBOARD MEMBER6798277
SCHWARTZ, BRADLEY HARRISCEO AND BOARD MEMBER2372237

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.

Company Information

CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266New York, NY 10036

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