Ivan J. Rodriguez

NEW SOUTHERN ADVISORY SERVICES

Germantown, TN 38138

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CRD#: 1884770

Professional summary

Ivan Juan Rodriguez is a registered financial advisor currently at NEW SOUTHERN ADVISORY SERVICES located in Germantown, Tennessee.

Ivan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Ivan has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

(1) SELF-EMPLOYED, GERMANTOWN, TENNESSEE, NOT INVESTMENT RELATED, SCREENPLAY WRITER, 4/2004, MORE THAN 40 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS; (2) SELF EMPLOYED, GERMANTOWN, TENNESSEE, SINGER/SONG WRITER, NOT INVESTMENT RELATED, 03/2006, LESS THAN 20 HOURS PER MONTH, 0 HOURS DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Juan 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

September 30, 2011 - Present

NEW SOUTHERN ADVISORY SERVICES

Office #1: 1922 Exeter Road Suite 15, Germantown, TN 38138

RIA

CRD#: 158724

Germantown, TN

Past

June 26, 2008 - December 31, 2008

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

GERMANTOWN, TN

Past

April 24, 2000 - April 20, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

GERMANTOWN, TN

Past

November 4, 1991 - April 17, 2000

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

November 23, 1988 - November 8, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(10/25/2011)

IAR

Tennessee
(9/30/2011)

IAR

Texas
(9/23/2016)

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: 8/31/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1988

General Securities Representative Examination

Current Firm

NEW SOUTHERN ADVISORY SERVICES

IVAN J. RODRIGUEZ | NEW SOUTHERN ADVISORY SERVICES, LLC | NEW SOUTHERN ADVISORY SERVICES, INC. | NEW SOUTHERN ADVISORY SERVICES

CRD#: 158724 / SEC#:

Arkansas

Registered Investment Advisory firm - (10/25/2011 Approved)

Tennessee

Registered Investment Advisory firm - (9/29/2011 Approved)

Texas

Registered Investment Advisory firm - (9/23/2016 Conditional Restricted)

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Contact information

Main Address

1922 Exeter Road Suite 15, Germantown, TN 38138-2949

Mailing Address

Phone number

(901) 258-3331

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	55
AUM (Assets Under Management)	$ 35,515,000

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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Ivan J. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ivan Juan Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEW SOUTHERN ADVISORY SERVICES

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MONY SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 8/31/2011

Series 63

Date: 10/27/1988

Series 7

Date: 10/15/1988

Current Firm

NEW SOUTHERN ADVISORY SERVICES

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NEW SOUTHERN ADVISORY SERVICES

TRUST BUT VERIFY

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