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Information

Firm: No Current Employment Listed
Description

This advisor is no longer actively registered. Their most recent registration with Merrill Lynch, Pierce, Fenner & Smith Incorporated ended in December 3, 2013.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Roger Wilson Rodas has not answered any questions on Financial Q&A.

Top Guides

Roger Wilson Rodas has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

No client types listed.

Experience and Employment History

Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 4 years, 6 months Oct 2009 - Present
Bank of America, Na 4 years, 6 months Oct 2009 - Present
Banc of America Investment Services, Inc. 10 years, 3 months Jul 1999 - Oct 2009
Banc of America Insurance Services, Inc. 10 years, 3 months Jul 1999 - Oct 2009
Banc of America Investment Services, Inc. 13 years, 1 month Sep 1996 - Oct 2009
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/03/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Not registered
Not registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
12/03/2013
01/03/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 11/07/1997
Uniform Securities Agent State Law Examination Series 63 12/30/1996
General Securities Representative Examination Series 7 12/23/1996

Firm Compensation Arrangements

help text

No compensation arrangements listed.