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SR

Samantha J. Rode

CAPULENT LLC
PHOENIX, AZ 85018
Some features on this profile are disabled
CRD#: 5895067
SR

Professional summary

Samantha Jade Rode, who also goes by Samantha Bradley, Samantha Rode, is a registered financial professional currently at CAPULENT LLC located in Phoenix, Arizona.

Samantha is registered as a RR (Registered Representative) and started their career in finance in 2011. Samantha has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Samantha Bradley | Samantha Rode

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) - BD

Click below to view Samantha Jade Rode's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 3, 2021 - Present

CAPULENT LLC

Office #1: 3200 E Camelback Rd Ste 130, Phoenix, AZ 85018
BD
CRD#: 155155
PHOENIX, AZ
Past

August 30, 2017 - May 6, 2019

ROUNDTABLE CAPITAL SERVICES LLC

BD
CRD#: 142784
NEW YORK, NY
Past

June 7, 2011 - August 18, 2017

BARON CAPITAL, INC.

BD
CRD#: 10538
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(6/7/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 7/29/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CL
CAPULENT LLC
BARNARD/MONTAGUE SECURITIES, LLC | CROWDTRADE | CAPULENT SECURITIES | CAPULENT LLC | BERING STRAIT CAPITAL, LLC | BERING STRAIT CAPITAL , LLC

CRD#: 155155 / SEC#: , 8-68699

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
3200 E Camelback Rd Ste 130, Phoenix, AZ 85018
Mailing Address
3200 E Camelback Rd Ste 130, Phoenix, AZ 85018
Phone number
(800) 255-5181
Established
California since 06/04/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (47 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BACHMAN, JUSTIN MATTHEWCEO6412695
AMYS, JENNIFER TMEMBER
FERNANDEZ, EDWARD ERICMEMBER2956661
COLLINS, ELIZABETH SARAHFINOP/CFO/POO/PFO4714831
HSU, DAVID CHENG-WEICCO4140214

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

CAPULENT LLC

CRD#: 155155Phoenix, AZ 85018

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