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Casey T. Rodriguez

Some features on this profile are disabled
CRD#: 4870499
CR

Professional summary

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

Casey is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Casey had worked at 8 firms, which includes ARIVE CAPITAL MARKETS, CHELSEA FINANCIAL SERVICES, MM GLOBAL SECURITIES INC., BROOKSTONE SECURITIES INC., FIRST MIDWEST SECURITIES INC., PRESTIGE FINANCIAL CENTER INC., THE CONCORD EQUITY GROUP LLC, GUNNALLEN FINANCIAL INC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Casey Thomas

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

October 14, 2015 - May 12, 2016

ARIVE CAPITAL MARKETS

BD
CRD#: 8060
Farmingdale, NY
Past

July 19, 2012 - October 22, 2015

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
East Meadow, NY
Past

January 17, 2012 - April 26, 2012

MM GLOBAL SECURITIES, INC.

BD
CRD#: 2509
MELVILLE, NY
Past

December 20, 2008 - January 26, 2012

BROOKSTONE SECURITIES, INC.

BD
CRD#: 13366
GARDEN CITY, NY
Past

November 13, 2008 - December 23, 2008

FIRST MIDWEST SECURITIES, INC.

BD
CRD#: 21786
MASSAPEQUA, NY
Past

January 18, 2007 - November 4, 2008

PRESTIGE FINANCIAL CENTER, INC.

BD
CRD#: 30407
GARDEN CITY, NY
Past

January 4, 2006 - February 5, 2007

THE CONCORD EQUITY GROUP, LLC

BD
CRD#: 14569
SYOSSET, NY
Past

April 28, 2005 - December 31, 2005

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL

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
RR
Series 63
Date: 5/23/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/12/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2005
General Securities Representative Examination

Current Firm

AC
ARIVE CAPITAL MARKETS
ARIVE CAPITAL MARKETS | REID AND ASSOCIATES, LLC | REID AND ASSOCIATES | REID & GILMOUR

CRD#: 8060 / SEC#: , 8-43350

BD
Terminated by SEC on 07/02/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/01/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LIBERTY VIEW HOLDINGS LLCDIRECT OWNER
ARIVE HOLDINGS, LLCDIRECT OWNER
UNIFIED WEALTH MANAGEMENT LLCDIRECT OWNER
KRISPEAL, RAQUEL ECCO5733217
SULLIVAN, THOMAS FRANCISCFO/FINOP1145000

Disclosures

Regulatory Event3

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

ARIVE CAPITAL MARKETS

CRD#: 8060

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