AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RR

Roger Rodriguez

CREAND SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1208361
RR

Professional summary

Roger Rodriguez is a registered financial professional currently at CREAND SECURITIES located in Miami, Florida.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1992. Roger has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Rodriguez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 30, 1995 - Present

CREAND SECURITIES

Office #1: 777 Brickell Avenue Suite 1201, Miami, FL 33131Office #2: 777 Brickell Avenue Suite 1201, Miami, FL 33131
BD
CRD#: 38964
Miami, FL
Past

October 27, 1992 - December 12, 1995

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/14/2016)
RR
Connecticut
(12/5/2008)
RR
Florida
(12/7/1995)
RR
New York
(11/15/2010)
RR
Texas
(12/1/2008)
RR
Virgin Islands
(4/16/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 12/14/1992
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/26/1992
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CS
CREAND SECURITIES
BETA CAPITAL MANAGEMENT, INC. | CREAND WEALTH MANAGEMENT | CREAND SECURITIES | BETA CAPITAL WEALTH MANAGEMENT | BETA CAPITAL SECURITIES LLC | BETA CAPITAL MANAGEMENT, L.P.

CRD#: 38964 / SEC#: , 8-48481

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
777 Brickell Avenue Suite 1201, Miami, FL 33131
Mailing Address
777 Brickell Avenue Suite 1201, Miami, FL 33131
Phone number
(305) 358-8844
Established
Delaware since 12/31/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CREDIT ANDORRA U.S. GP LLCSHAREHOLDER
ESCUDERO, MARYORI DEL SOCORROCOO4913350
GUZMAN, CARLOSCHIEF COMPLIANCE OFFICER1727654
HERVIS, IDELMA DE LA CARIDADCFO1429292
POVEDANO, NOELIACEO6126794
SOLIS MEDINA, ITZELAMLCO7817869

Disclosures

Regulatory Event7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CREAND SECURITIES

CRD#: 38964Miami, FL 33131

TRUST BUT VERIFY

Monitor Roger Rodriguez

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Noah Philip Alweiss
Noah AlweissAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Miami, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics