Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rod? Claim Your ProfileRod Scott Gonzales is a financial advisor who has been active in the industry since 1988. Rod is currently registered with Muriel Siebert & Co., LLC and has worked with several other firms throughout his career, including STOCKCROSS FINANCIAL SERVICES, INC., TD AMERITRADE, INC., KENNEDY, CABOT & CO., and R. G. DICKINSON & CO. Rod has extensive experience in the financial industry, holding licenses such as Series 7, Series 24, Series 52TO, Series 53, and Series 55, and is registered with the states of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
CA
10/25/2017 - Present
Muriel Siebert & CO., LLC (Beverly Hills CA)
CA
03/20/2018 - 01/02/2020
STOCKCROSS FINANCIAL SERVICES, INC. (BEVERLY HILLS CA)
CA
02/05/2007 - 12/31/2017
STOCKCROSS FINANCIAL SERVICES, INC. (BEVERLY HILLS CA)
CA
11/07/1997 - 12/04/2006
TD AMERITRADE, INC. (BEVERLY HILLS CA)
CA
11/21/1988 - 11/07/1997
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NA
12/02/1987 - 09/27/1988
R. G. DICKINSON & CO.
NA
10/20/1987 - 12/10/1987
BARABAN SECURITIES, INC.
BC
Issued 02/19/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/03/2018
Series 24 - General Securities Principal Examination
BC
Issued 09/17/2012
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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