Rodney D. Baber
Professional summary
Rodney Derrick Baber JR, who also goes by Rodney Derrick Baber, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in Memphis , Tennessee.
Rodney is registered as a RR (Registered Representative) and started their career in finance in 1970. Rodney has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rodney Derrick Baber JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2016 - Present
PAULSON INVESTMENT COMPANY LLC
April 20, 2015 - December 31, 2015
HALEN CAPITAL
December 26, 2013 - April 13, 2015
NEWPORT COAST SECURITIES, INC.
April 6, 2012 - January 2, 2014
AARON CAPITAL INCORPORATED
March 17, 2004 - April 19, 2012
MORGAN KEEGAN & COMPANY, LLC
February 5, 1987 - March 3, 1987
MORGAN KEEGAN & COMPANY, LLC
February 13, 1973 - April 19, 2012
MORGAN KEEGAN & COMPANY, LLC
December 16, 1970 - April 5, 1973
TENNESSEE SECURITIES, INC.
November 4, 1970 - March 10, 1971
J B WILLIAMS CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/18/2016)
(10/21/2022)
(3/25/2016)
(3/25/2016)
(3/25/2016)
(1/16/2019)
(3/12/2019)
(4/12/2016)
(3/25/2016)
(4/29/2016)
(10/12/2019)
(2/1/2017)
(1/16/2019)
(3/25/2016)
(3/11/2022)
(3/25/2016)
(1/12/2017)
(6/28/2018)
(3/28/2022)
(4/15/2016)
(3/25/2016)
(3/28/2016)
(2/9/2017)
(9/29/2021)
(8/8/2019)
(6/13/2017)
(1/16/2019)
(6/30/2025)
(3/29/2016)
(3/25/2016)
(9/1/2025)
(1/16/2019)
(4/11/2017)
(8/13/2019)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/10/1977
AMEX Put and Call ExamSeries 1
Date: 10/27/1970
Registered Representative ExaminationFINRA
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 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.
