Roberto Rodi
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.
Roberto Rodi was a registered financial professional .
Roberto is a previously registered financial professional and started their career in finance in 2016. Roberto had worked at 1 firm and has passed the SIE and Series 37 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 2016 - January 9, 2018
LOMBARD ODIER TRANSATLANTIC LIMITED
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
Series 37
Date: 11/30/2016
Canada Module of the General Securities Registered Representative (With Options Questions)Current Firm
LOMBARD ODIER TRANSATLANTIC LIMITED
CRD#: 6318 / SEC#: 801-112125, 8-15608
Contact information
Disclosures
| Regulatory Event | 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.
