Erik A. Rodriguez
Professional summary
Erik A Rodriguez is a registered financial professional currently at FCF SECURITIES AND DERIVATIVES LLC located in Chicago, Illinois and HAMILTON EXECUTIONS LLC located in New York, New York.
Erik is registered as a RR (Registered Representative) and started their career in finance in 2016. Erik has worked at 4 firms and has passed the Series 63, Series 65, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Erik A Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2017 - Present
FCF SECURITIES AND DERIVATIVES LLC
Office #1: 440 S. Lasalle St Suite 845, Chicago, IL 60605September 12, 2024 - Present
HAMILTON EXECUTIONS LLC
Office #1: 11 Wall Street, New York, NY 10005September 12, 2024 - Present
CASEY SECURITIES LLC
Office #1: 100 Drakes Landing Road Building 100a - 2nd Floor Suite 210, Greenbrae, CA 94904April 25, 2016 - August 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 14, 2016 - August 2, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/14/2017)
Exams
Series 99TO
Date: 9/12/2024
Operations Professional ExaminationSeries 57TO
Date: 4/6/2021
Securities Trader ExamFINRA
NYSE Texas, Inc.
Nasdaq Stock Market
Current Firm
CASEY SECURITIES LLC
CRD#: 35230 / SEC#: , 8-21205
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 19 |
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.
