Rodric N. Lindenberger
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.
Rodric Newton Lindenberger, who also goes by Rodric N Lindenberger, was a registered financial advisor .
Rodric is a previously registered financial advisor and started their career in finance in 1979. Rodric had worked at 3 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 7 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
July 8, 2005 - November 5, 2007
STONE & YOUNGBERG LLC
June 16, 2005 - November 5, 2007
STONE & YOUNGBERG LLC
July 8, 1997 - March 23, 2005
UBS FINANCIAL SERVICES INC.
January 12, 1981 - March 23, 2005
UBS FINANCIAL SERVICES INC.
January 2, 1979 - February 12, 1981
KIDDER, PEABODY & CO. 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
Exams
Series 15
Date: 6/5/1984
Foreign Currency Options ExaminationSeries 5
Date: 4/3/1984
Interest Rate Options ExaminationSeries 8
Date: 10/10/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STONE & YOUNGBERG LLC
CRD#: 795 / SEC#: 801-69883, 8-3149
Contact information
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
