Rodel Corriente

Current Employers

Rodel Corriente (Sy) Llc

Arcadia, CA • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2010-08-12

CA RA
APPROVED

Since 2010-08-12

Branch Locations

Arcadia, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pasadena	CA	11/2003	Present

11/2003 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA

Previous Registrations

2006-11-03 → 2010-07-13

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pasadena, CA
1997-07-08 → 2006-11-20

Morgan Stanley Dw Inc.

Pasadena, CA

Pasadena, CA

Other Businesses

SOLE OWNER OF RACING AND BREEDING THOROUGHBRED HORSES. BUSINESS NAME: RODEL CORRIENTE INVESTMENT RELATED: BREEDING RACE HORSES AND RACING THEM ADDRESS: 1020 SAN CARLOS RD NATURE: RACE HORSES YOUR POSITION, TITLE, ASSOCIATION: SOLE OWNER START DATE: APPROXIMATELY 1999 NUMBER OF HOURS DEVOTED PER MONTH: ABOUT 10 HOURS NUMBER OF HOURS DEVOTED DURING SECURITIES TRADING HOURS: NONE DUTIES: JUST WATCH THE WOK OUT AND WHEN EVER THEY RACE.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-02-17
S63	Uniform Securities Agent State Law Examination	1990-10-23

S65 Uniform Investment Adviser Law Examination

2007-02-17
S63 Uniform Securities Agent State Law Examination

1990-10-23

View on SEC IAPD