Hendry T. Rodman
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.
Hendry Thompson Rodman JR, who also goes by Tom Rodman, was a registered financial professional .
Hendry is a previously registered financial professional and started their career in finance in 1975. Hendry had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, PC 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
October 15, 2013 - July 15, 2015
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - July 15, 2015
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
April 4, 1988 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
July 19, 1984 - April 21, 1988
CITIGROUP GLOBAL MARKETS INC.
June 26, 1984 - August 6, 1984
LEHMAN BROTHERS INC.
September 11, 1978 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
August 21, 1975 - July 30, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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
PC
Date: 9/8/1977
AMEX Put and Call ExamCurrent Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
