Rodrigo Posse
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rodrigo Posse, who also goes by Rod Posse, was a registered financial professional .
Rodrigo is a previously registered financial professional and started their career in finance in 1983. Rodrigo had worked at 6 firms and has passed the Series 65, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2024 - July 28, 2026
ASSET ALLOCATION STRATEGIES, LLC
January 28, 2009 - January 31, 2015
ONEAMERICA SECURITIES, INC.
April 4, 2006 - January 16, 2009
NYLIFE SECURITIES LLC
June 22, 1994 - March 4, 2005
MONY SECURITIES CORPORATION
September 1, 1983 - May 26, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
September 1, 1983 - May 26, 1994
SIGNATOR INVESTORS, INC.
Primary Firm SEC Registration
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,660 |
| AUM (Assets Under Management) | $ 1,019,375,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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