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Rafael A. Rodriguez

Some features on this profile are disabled
CRD#: 1337198
RR

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.

Rafael Antonio Rodriguez, who also goes by Rafael A Rodriguez, Rafael Antionio Rodriguez, Ralph A Rodriguez, Ralph Rodriguez, was a registered financial professional .

Rafael is a previously registered financial professional and started their career in finance in 1987. Rafael had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rafael A Rodriguez | Rafael Antionio Rodriguez | Ralph A Rodriguez | Ralph 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2024 - July 3, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
Fort Lauderdale, FL
Past

July 7, 2021 - September 3, 2025

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
FORT LAUDERDALE, FL
Past

June 20, 2019 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

January 23, 2017 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
FORT LAUDERDALE, FL
Past

September 14, 2006 - September 11, 2013

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

October 20, 2005 - August 15, 2006

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

BD
CRD#: 27884
SAN MATEO, CA
Past

October 22, 1997 - October 19, 2005

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA
Past

October 30, 1996 - February 28, 1997

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

April 26, 1989 - October 18, 1990

TECHNOLOGY FUNDING SECURITIES CORPORATION

BD
CRD#: 15074
Past

July 23, 1987 - November 30, 1988

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332

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: 8/8/2017
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 7
Date: 1/23/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/29/1996
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 4/25/1989
Direct Participation Programs Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/7/2017
General Securities Principal Examination

Current Firm

PR
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
PUTNAM FINANCIAL SERVICES, INC. | PUTNAM/EBERSTADT FINANCIAL SERVICES, INC. | PUTNAM RETAIL MANAGEMENT, INC. | PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP | PUTNAM RETAIL MANAGEMENT | PUTNAM MUTUAL FUNDS CORP. | PUTNAM FUND DISTRIBUTORS, INC.

CRD#: 7325 / SEC#: , 8-1369

BD
Terminated by SEC on 10/29/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Massachusetts since 03/26/2001
Firm type
Partnership
Fiscal year end
November
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PUTNAM U.S. HOLDINGS I, LLCOWNER/LP
CIEPRISZ, KENNETH DAVIDCHIEF COMPLIANCE OFFICER2303713
MASOM, JEFFREY SCOTTPRESIDENT2870966
PATERSON, DAVIDCHIEF FINANCIAL OFFICER AND DESIGNATED FINANCIAL PRINCIPAL7001546
PUTNAM RETAIL MANAGEMENT GP, INCOWNER/GP

Disclosures

Regulatory Event2
Arbitration3

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

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

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