Rodley T. Fabie
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.
Rodley T Fabie, who also goes by Rodley Talavera Fabie, was a registered financial professional .
Rodley is a previously registered financial professional and started their career in finance in 2007. Rodley had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2019 - July 6, 2021
TD AMERITRADE, INC.
January 2, 2019 - July 6, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
January 2, 2019 - July 6, 2021
TD AMERITRADE, INC.
September 22, 2017 - December 6, 2018
SILICON VALLEY CAPITAL ADVISORS, LLC
March 18, 2015 - January 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2015 - January 17, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2012 - April 8, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
February 14, 2012 - April 8, 2015
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
November 8, 2011 - February 13, 2012
CHASE INVESTMENT SERVICES CORP.
November 8, 2011 - February 13, 2012
CHASE INVESTMENT SERVICES CORP.
October 21, 2010 - July 7, 2011
MORGAN STANLEY
October 21, 2010 - July 7, 2011
MORGAN STANLEY
April 26, 2007 - June 3, 2010
UBS FINANCIAL SERVICES INC.
April 26, 2007 - June 3, 2010
UBS FINANCIAL SERVICES INC.
February 13, 2007 - March 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
January 8, 2007 - March 13, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
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
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