Individual Firm
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RODNEY ALAN PIRTLE
RODNEY ALLEN PIRTLE
CRD#: 1291041
IA
B
MORGAN STANLEYCRD#: 149777 401 Fremont Street
Suite 200
Monterey, CA 93940
Suite 200
Monterey, CA 93940
0
Disclosures
40
Years of Experience
View By:
State Registrations
B
Arizona 6/1/2009
B
New Mexico 7/17/2023
B
California 6/1/2009
B
New York 12/20/2021
IA
California 6/1/2009
B
North Carolina 6/27/2023
B
Florida 7/17/2023
B
Oregon 6/1/2009
B
Idaho 6/1/2009
B
Texas 9/21/2023
B
Kentucky 4/2/2024
IA
Texas 9/22/2023
B
Michigan 7/17/2023
B
Washington 6/1/2009
B
Nevada 6/1/2009
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 6/1/2009
B
Registered with this firm since 6/1/2009
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 06/01/2009 | MONTEREY, CA | |
B | 04/02/2007 - 06/01/2009 | MONTEREY, CA | |
IA | 07/08/1997 - 04/02/2007 | SALINAS, CA | |
B | 08/21/1984 - 04/02/2007 | SALINAS, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.