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Suzanne Marie Rode

Capital ONE Securities, Inc.

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About Suzanne Marie Rode

Suzanne Rode is a financial professional with over 14 years of experience in the securities industry. Suzanne is currently registered with Capital One Securities, Inc. and holds the Series 7, Series 63, Series 79TO, and SIE licenses. Suzanne has previously been registered with UBS Securities LLC, FIFTH THIRD SECURITIES, INC., and MACQUARIE CAPITAL (USA) INC. Suzanne has held positions in New York, NY and Los Angeles, CA. Suzanne is licensed in several states including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas and Virginia.

Firm Information

Suzanne Rode is currently registered with Capital ONE Securities, Inc.. Capital ONE Securities, Inc. is a Corporation formed in April 2000 and approved in multiple states, including California, Connecticut, Florida, Illinois, Louisiana, Maryland, Massachusetts, New York, Pennsylvania, Texas, and Virginia. They are also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

103

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Suzanne Rode’s Registration & Firm History

NY

06/15/2022 - Present

Capital ONE Securities, Inc. (New York NY)

CA

08/08/2013 - 10/20/2021

FIFTH THIRD SECURITIES, INC. (LOS ANGELES CA)

NY

04/22/2010 - 09/30/2011

UBS SECURITIES LLC (NEW YORK NY)

CA

02/09/2009 - 02/16/2010

MACQUARIE CAPITAL (USA) INC. (LOS ANGELES CA)

CA

03/23/2005 - 05/23/2008

UBS SECURITIES LLC (LOS ANGELES CA)

NY

11/02/2004 - 03/17/2005

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/24/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/01/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Suzanne Marie Rode.
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