Casey T. Rodriguez
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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2015 - May 12, 2016
ARIVE CAPITAL MARKETS
July 19, 2012 - October 22, 2015
CHELSEA FINANCIAL SERVICES
January 17, 2012 - April 26, 2012
MM GLOBAL SECURITIES, INC.
December 20, 2008 - January 26, 2012
BROOKSTONE SECURITIES, INC.
November 13, 2008 - December 23, 2008
FIRST MIDWEST SECURITIES, INC.
January 18, 2007 - November 4, 2008
PRESTIGE FINANCIAL CENTER, INC.
January 4, 2006 - February 5, 2007
THE CONCORD EQUITY GROUP, LLC
April 28, 2005 - December 31, 2005
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
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Exams
Current Firm
ARIVE CAPITAL MARKETS
CRD#: 8060 / SEC#: , 8-43350
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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