Jorge P. Rodriguez-shaw
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.
Jorge Patrick Rodriguez-shaw, who also goes by Jp Rodriguez, Jorge Rodriguez-shaw, was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 2012. Jorge had worked at 4 firms and has passed the Series 63, 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
March 6, 2015 - March 19, 2015
DINOSAUR FINANCIAL GROUP, L.L.C
December 10, 2012 - July 28, 2014
SEIDEL & CO., LLC
June 18, 2012 - November 13, 2012
HUNTER SCOTT FINANCIAL LLC.
May 11, 2012 - July 6, 2012
NEWPORT COAST SECURITIES, INC.
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
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
