Individual Firm
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RODNEY WAYNE RICH JR
ROD RICH JR, RODNEY W RICH JR, RODNEY WAYNE RICH, RODNEY RICH
CRD#: 714642
IA
B
AMERIPRISE FINANCIAL SERVICES, LLCCRD#: 6363 929 108th Ave NE Ste 1200
Bellevue, WA 98004
Bellevue, WA 98004
View By:
8/22/2024
Customer Dispute
Settled
10/3/2012
Customer Dispute
Denied
State Registrations
B
Arizona 4/29/2016
B
Oregon 4/29/2016
B
California 4/29/2016
B
Tennessee 5/21/2021
B
Colorado 6/19/2018
B
Vermont 1/5/2018
B
Florida 11/18/2020
B
Washington 4/29/2016
B
Idaho 4/29/2016
IA
Washington 4/29/2016
B
Illinois 5/14/2018
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/29/2016
B
Registered with this firm since 4/29/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/15/2003 - 05/05/2016 | BELLEVUE, WA | |
B | 03/23/2001 - 05/05/2016 | BELLEVUE, WA | |
B | 03/23/2001 - 07/09/2007 | BELLEVUE, WA | |
B | 08/13/1997 - 03/30/2001 | ST. PAUL, MN | |
B | 03/04/1996 - 11/07/1996 | NEW YORK, NY | |
B | 12/03/1993 - 02/08/1995 | BOSTON, MA | |
B | 01/17/1990 - 12/03/1991 | PHOENIX, AZ | |
B | 08/25/1980 - 12/14/1989 |
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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.