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
HR

Hector E. Rodriguez

DEALERWEB LLC
Jersey City, NJ 07311
Some features on this profile are disabled
CRD#: 1315352
HR

Professional summary

Hector Enrique Rodriguez, who also goes by Hector E Rodriguez, Hector Enrique Rodriguez, Hector Rodriguez, is a registered financial professional currently at DEALERWEB LLC located in Jersey City, New Jersey.

Hector is registered as a RR (Registered Representative) and started their career in finance in 2012. Hector has worked at 4 firms and has passed the Series 63, SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Hector E Rodriguez | Hector Enrique Rodriguez | Hector Rodriguez

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 Hector Enrique Rodriguez'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®
None

Experience

Current

December 18, 2023 - Present

DEALERWEB LLC

Office #1: 185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311
BD
CRD#: 19662
Jersey City, NJ
Past

March 31, 2023 - January 12, 2024

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

September 25, 2013 - August 27, 2021

WEDBUSH SECURITIES INC.

BD
CRD#: 877
JERSEY CITY, NJ
Past

March 28, 2012 - May 10, 2013

E*TRADE CLEARING LLC

BD
CRD#: 25025
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/25/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 3/27/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

DL
DEALERWEB LLC
DEALERWEB INC. | HILLIARD FARBER & CO., INC. | DEALERWEB LLC

CRD#: 19662 / SEC#: , 8-38103

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge 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
185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311
Mailing Address
185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311
Phone number
(212) 797-1980
Established
Delaware since 12/20/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEWEB IDB MARKETS, INC.OWNER
BRUNER, CHRISTIAN ADAMBOARD MEMBER5661505
CLACK, AMYBOARD MEMBER4882071
COTTER, RICHARD JOSEPH JRPRINCIPAL FINANCIAL OFFICER1611037
GALINDO, JORGE ALBERTO JRPRINCIPAL OPERATIONS OFFICER2501261
HUESTIS, TIMOTHY DANIELEXECUTIVE REPRESENTATIVE4931620
MCKEON, ALFRED PETERPRESIDENT1666355
SERRAO, ASHLEY NEILBOARD MEMBER5360541
SULLIVAN, MICHAEL FRANCISCHIEF COMPLIANCE OFFICER3254037
WOOD, ELISABETH KIRBYBOARD MEMBER4929181

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

DEALERWEB LLC

CRD#: 19662Jersey City, NJ 07311

TRUST BUT VERIFY

Monitor Hector Rodriguez

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

Similar Advisors

Sungmin Ryan Park
Sungmin Ryan ParkAdvisorCheck Check Mark
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IAR
RR
Florham Park, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
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