Alejandro C. 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.
Alejandro Carlos Rodriguez, who also goes by Alex Carlos Rodriguez, was a registered financial professional .
Alejandro is a previously registered financial professional and started their career in finance in 2010. Alejandro had worked at 2 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 11, 2013 - March 7, 2014
CROSSMARKET CAPITAL, LLC
October 20, 2010 - April 12, 2011
NEUBERGER BERMAN BD LLC
September 10, 2010 - April 12, 2011
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
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Exams
Current Firm
CROSSMARKET CAPITAL, LLC
CRD#: 168947 / SEC#: 801-78551
Contact information
Regulatory assets under management
| Total Number of Accounts | 140 |
| AUM (Assets Under Management) | $ 22,250,000 |
Red Flags
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