RP
Rodrigo Posse
ASSET ALLOCATION STRATEGIES
Plantation, FL
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CRD#: 1174233
RP
Professional summary
Rodrigo Posse, who also goes by Rod Posse, is a registered financial advisor currently at ASSET ALLOCATION STRATEGIES, LLC located in Plantation, Florida.
Rodrigo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Rodrigo has worked at 6 firms and has passed the Series 65, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rod Posse
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) Valuteachers. Investment-related. Address: Ponte Vedra Beach, FL. Nature: Life/Annuity Insurance sales. Position: Insurance agent. Start Date: 04/2014. Hours Devoted per month: 150+. Duties: Annuity and Life insurance sales. (2) ROMA Financial Partners, LLC. Investment-Related. Address: Plantation, FL. Nature: DBA, LLC that just receives commission earned from Life insurance/annuity sales through Valuteachers. Position: Owner. Start Date: 01/2009. Hours devoted per month: 1. Duties: Record keeping for LLC. (3) Humana. Investment-Related. Address: Plantation, FL (works from home). Nature: Group health insurance sales. Position: Insurance Agent. Start Date: 01/2019. Hours devoted per month: 10. Duties: Sale of group health insurance products. (4) Protective Life Insurance Co. Investment Related. Address: Plantation, FL. Nature: Life Insurance. Position: Insurance Agent. Start Date: 09/2023. 10 hrs/mo - 1 during trading hours. Duties: Insurance sales. (5) International Medical Group. Investment Related. Address: Indianapolis, IN (works from home). Nature: Health Insurance. Position: Insurance Agent. Start Date: 12/2008. 10 hrs/mo - 1 during trading hours. Duties: Insurance sales. (6) AETNA. Investment Related. Address: Hartfield, CT (works from home). Nature: Insurance. Position: Health Agent. Start Date: 06/2010. 1 hrs/mo - 1 during trading hours. Duties: Insurance sales.
CRS (Client Relationship Summary) - RIA
Click below to view Rodrigo Posse's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
February 9, 2024 - Present
ASSET ALLOCATION STRATEGIES, LLC
RIA
CRD#: 152339
Plantation, FL
Past
January 28, 2009 - January 31, 2015
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
MIRAMAR, FL
Past
April 4, 2006 - January 16, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WESTON, FL
Past
June 22, 1994 - March 4, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 1, 1983 - May 26, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
September 1, 1983 - May 26, 1994
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(2/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AA
ASSET ALLOCATION STRATEGIES, LLC
ASSET ALLOCATION STRATEGIES, LLC
CRD#: 152339 / SEC#: 801-106707
RIA
Registered Investment Advisory firm - (9/28/2015 Approved)Massachusetts
Registered Investment Advisory firm - (3/30/2021 Terminated)Michigan
Registered Investment Advisory firm - (3/30/2021 Terminated)Vermont
Registered Investment Advisory firm - (6/14/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
33335 Grand River, Farmington, MI 48336
Mailing Address
Phone number
(248) 489-0101
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,883 |
| AUM (Assets Under Management) | $ 767,431,598 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
