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KAREN RODRIGUEZ
KAREN P DILLON, KAREN PAULETTE DILLON, KAREN PAULETTE RODRIGUEZ
CRD#: 2947262
IA
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 77 BROAD ST
RED BANK, NJ 07701
RED BANK, NJ 07701
0
Disclosures
20
Years of Experience
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State Registrations
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Arizona 3/6/2024
B
Nevada 6/25/2024
B
California 9/19/2016
B
New Jersey 6/27/2016
B
Colorado 10/4/2024
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New Jersey 7/1/2016
B
Connecticut 11/22/2017
B
New York 7/14/2016
B
Delaware 2/2/2024
B
North Carolina 6/3/2024
B
District of Columbia 9/19/2016
B
Pennsylvania 2/27/2024
B
Florida 6/25/2024
B
Texas 1/3/2017
B
Georgia 7/31/2024
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Texas 1/3/2017
B
Maryland 7/23/2018
B
Virginia 5/19/2017
B
Massachusetts 5/4/2020
SRO Registrations
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Registered with this firm since 7/1/2016
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Registered with this firm since 6/27/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/16/2015 - 05/23/2016 | NEW YORK, NY | |
B | 10/01/2008 - 04/24/2009 | NEW YORK, NY | |
B | 05/04/2004 - 10/01/2008 | NEW YORK, NY | |
B | 09/16/1999 - 05/05/2003 | NEW YORK, NY | |
B | 02/19/1998 - 08/31/1999 | STAMFORD, CT | |
B | 11/25/1997 - 01/23/1998 | NEW YORK, NY |
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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.
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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.