Roberto Rodriguez-werner

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CRD#: 1377404

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.

Roberto Rodriguez-werner, who also goes by Roberto Rodriguez, Roberto R. Rodriguez-werner, Robert Rodriguezwerner, Roberto Rafael Rodriguezwerner, Roberto Rafael Rodrigvezwerner, Roberto Rodriguez Werner, was a registered financial professional .

Roberto is a previously registered financial professional and started their career in finance in 1985. Roberto had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 5 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

TRANSFORMATIONAL TRAINER LIFE COACH-NOT A CORPORATION OR LLC STARTED IN 1999-$60,000 ANNUAL INCOME-SPEND 10% OF TIME.LEAD TRANSFORMATION WORKSHOPS FOR OF 50-100 PEOPLE AT A TIME.BASED ON REFERRALS-NO ADVERTISING

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

March 8, 2017 - March 14, 2025

ARAGON CAPITAL LLC

RIA

CRD#: 166958

FORT LAUDERDALE, FL

Past

June 16, 2015 - March 7, 2016

AEGIS CAPITAL CORP.

RIA

CRD#: 15007

San Juan, PR

Past

June 16, 2015 - March 7, 2016

AEGIS CAPITAL CORP.

CRD#: 15007

San Juan, PR

Past

December 2, 2013 - June 25, 2015

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

SAN JUAN, PR

Past

October 15, 2013 - June 25, 2015

CAPITAL GUARDIAN, LLC

CRD#: 137919

SAN JUAN, PR

Past

December 2, 2011 - July 1, 2013

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

HATO REY, PR

Past

November 30, 2011 - July 1, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

HATO REY, PR

Past

August 25, 2011 - August 26, 2011

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

August 25, 2011 - August 26, 2011

KOVACK SECURITIES INC.

CRD#: 44848

SAN JUAN, PR

Past

August 27, 2008 - August 25, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GUAYNABO, PR

Past

July 30, 2008 - August 25, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GUAYNABO, PR

Past

March 6, 1997 - July 20, 2000

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

April 1, 1992 - January 24, 1997

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

February 3, 1992 - July 20, 1992

FIRST CONTINENTAL CORPORATION

CRD#: 21954

Past

August 30, 1988 - July 24, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 23, 1985 - September 22, 1988

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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".

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/22/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/1/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/7/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/29/2008

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 8/3/1985

Interest Rate Options Examination

Current Firm

ARAGON CAPITAL LLC

CRD#: 166958 / SEC#: 801-121982

RIA

Registered Investment Advisory firm - (7/30/2021 Approved)

Florida

Registered Investment Advisory firm - (8/12/2021 Terminated)

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Contact information

Main Address

101 Ne 3rd Ave Suite 1500, Fort Lauderdale, FL 33301

Mailing Address

Phone number

(786) 529-6540

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (9/23/2025)

ADV 3 - FORM CRS (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,066
AUM (Assets Under Management)	$ 285,018,221

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.

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Advisor Monitoring

Firm Stability Insights

Roberto Rodriguez-werner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AEGIS CAPITAL CORP.

AEGIS CAPITAL CORP.

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CAPITAL GUARDIAN, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SANTANDER SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

FIRST CONTINENTAL CORPORATION

LEHMAN BROTHERS INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

ARAGON CAPITAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/22/2008

Series 63

Date: 6/1/1985

SIE

Date: 3/7/2016

Series 7

Date: 7/29/2008

Series 5

Date: 8/3/1985

Current Firm

ARAGON CAPITAL LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARAGON CAPITAL LLC

TRUST BUT VERIFY

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