Richard K. Rodd
Professional summary
Richard Kenneth Rodd, who also goes by Rick Rodd, is a registered financial professional currently at J.W. COLE FINANCIAL, INC. located in Grand Junction, Colorado.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1979. Richard has worked at 9 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Kenneth Rodd's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2021 - Present
J.W. COLE FINANCIAL, INC.
June 1, 2021 - June 3, 2021
INNOVATION PARTNERS LLC
September 22, 2020 - November 5, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
July 28, 2006 - September 14, 2020
LARIMER CAPITAL CORPORATION
August 11, 2003 - December 31, 2004
USALLIANZ SECURITIES, INC.
June 21, 2002 - December 31, 2002
LOCUST STREET SECURITIES, INC.
February 10, 1999 - August 7, 2003
INDEPENDENT ADVISERS GROUP CORP
January 11, 1999 - December 31, 2002
LOCUST STREET SECURITIES, INC.
January 5, 1996 - January 21, 1999
LPL FINANCIAL LLC
August 31, 1979 - December 31, 1995
CINCINNATI ANALYSTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/19/2021)
(1/6/2022)
(1/6/2022)
Exams
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 8/24/1979
Registered Representative ExaminationFINRA
Current Firm
J.W. COLE FINANCIAL, INC.
CRD#: 124583 / SEC#: , 8-65698
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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