Roderick G. Chisholm
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.
Roderick George Chisholm III, who also goes by Roderick G Chisholm, was a registered financial professional .
Roderick is a previously registered financial professional and started their career in finance in 1980. Roderick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 5, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2012 - December 31, 2019
SPC
October 19, 2012 - December 31, 2019
SIGMA FINANCIAL CORPORATION
October 5, 2009 - October 25, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - October 25, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
August 29, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
July 21, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 29, 2007 - July 22, 2008
NATIONS FINANCIAL GROUP, INC.
November 2, 2007 - July 22, 2008
NATIONS FINANCIAL GROUP, INC.
January 9, 2006 - November 1, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
January 9, 2006 - November 1, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
October 23, 1995 - January 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
October 19, 1995 - January 6, 2006
WELLS FARGO CLEARING SERVICES, LLC
December 22, 1980 - September 22, 1995
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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 5
Date: 10/5/1981
Interest Rate Options ExaminationSeries 8
Date: 1/9/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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.
