Phillip J. Rodriguez
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.
Phillip John Rodriguez was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1984. Phillip had worked at 10 firms and has passed the Series 63, Series 65, Series 7TO, Series 79TO, Series 6TO, Series 52TO, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2018 - August 13, 2020
EMERSON EQUITY LLC
July 18, 2018 - August 13, 2020
EMERSON EQUITY LLC
March 6, 2017 - June 26, 2017
CABIN SECURITIES, INC.
July 12, 2016 - February 24, 2017
WESTPARK CAPITAL, INC.
February 29, 2016 - July 13, 2016
NEWPORT COAST SECURITIES, INC.
April 27, 2015 - February 11, 2016
XNERGY FINANCIAL LLC
January 22, 2015 - April 27, 2015
MARKEL NEWTON
January 11, 2013 - January 29, 2013
XNERGY FINANCIAL LLC
May 3, 2011 - May 18, 2012
DIMIRAK SECURITIES CORPORATION
November 5, 2009 - January 3, 2013
DIMIRAK SECURITIES CORPORATION
July 12, 2000 - November 20, 2009
EMPIRE SECURITIES CORPORATION
May 2, 1986 - May 23, 1990
PRUCO SECURITIES, LLC.
March 19, 1985 - November 20, 2009
EMPIRE SECURITIES CORPORATION
April 10, 1984 - December 6, 1984
SECURITIES MANAGEMENT & RESEARCH, INC.
Primary Firm SEC Registration
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
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
Series 7TO
Date: 9/3/2022
General Securities Representative ExaminationSeries 79TO
Date: 9/3/2022
Investment Banking Registered Representative ExaminationSeries 6TO
Date: 9/3/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 9/3/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 9/3/2022
Operations Professional ExaminationCurrent Firm
EMERSON EQUITY LLC
CRD#: 130032 / SEC#: 801-120835, 8-66296
Contact information
SEC notice filing (32 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 1,091 |
| AUM (Assets Under Management) | $ 327,937,701 |
Disclosures
| Regulatory Event | 2 |
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.
