RANDOLPH CIENEGA RODRIGUEZ

RANDOLPH CIENEGA RODRIGUEZ is currently employed as a Broker and/or Investment Adviser at CABOT LODGE SECURITIES LLC located at 4225 Express Square, Suite 600, La Jolla, CA, 92037.

RANDOLPH CIENEGA RODRIGUEZ has worked at CABOT LODGE SECURITIES LLC since February 24, 2016

Disclosure History

RANDOLPH CIENEGA RODRIGUEZ has 2 Disclosure Event(s).

Date: June 29, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $3,534.00
Judgment/Lien Type: Tax
Broker Comment: Mr. Rodriguez learned about the lien in December 2017 while in the process of refinancing his home.

Date: June 13, 2012
Category: Financial
Type: Bankruptcy
Disposition: Discharged

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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