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RENE NMN RODRIGUEZ
RENE RODRIGUEZ
CRD#: 6087511
IA
B
K2 FINANCIAL INC.CRD#: 300913 233 SOUTH GLENDORA AVENUE
GLENDORA, CA 91741
GLENDORA, CA 91741
LINCOLN INVESTMENTCRD#: 519 233 S. Glendora Ave.
Glendora, CA 91741
Glendora, CA 91741
0
Disclosures
12
Years of Experience
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State Registrations
B
Arizona 1/4/2019
B
Florida 1/4/2019
B
California 1/3/2017
B
New Mexico 1/4/2019
IA
California 5/7/2018
B
Ohio 5/2/2017
B
Colorado 1/3/2017
IA
Texas 10/22/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 5/30/2019
IA
Registered with this firm since 5/7/2018
B
Registered with this firm since 1/3/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/07/2018 - 10/04/2019 | San Dimas, CA | |
B | 12/22/2012 - 01/03/2017 | SAN DIMAS, 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.