Daniel J. Rodriguez
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.
Daniel Javier Rodriguez, who also goes by Daniel J Rodriguez, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2007. Daniel had worked at 6 firms and has passed the Series 66, Series 6TO, Series 99TO, Series 22TO, Series 82TO, Series 52TO, SIE, Series 50 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
August 8, 2022 - May 1, 2023
CABRERA CAPITAL MARKETS, LLC
August 19, 2019 - September 7, 2022
HILLTOP SECURITIES INC.
December 5, 2018 - August 16, 2019
GEORGE K. BAUM & COMPANY
April 1, 2017 - November 1, 2018
FHN FINANCIAL SECURITIES CORP.
January 1, 2010 - April 1, 2017
COASTAL SECURITIES, INC.
January 22, 2008 - January 2, 2009
VOYA FINANCIAL PARTNERS, LLC
May 14, 2007 - January 11, 2008
COASTAL SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CABRERA CAPITAL MARKETS, LLC
CRD#: 10081 / SEC#: , 8-26406
Contact information
FINRA licenses (30 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
Red Flags
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