Carlos Rodriguez

BROAD BROOK FINANCIAL

Chelmsford, MA

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CRD#: 2064625

Professional summary

Carlos Rodriguez, who also goes by Carlos Rodriguez III, is a registered financial advisor currently at BROAD BROOK FINANCIAL located in Chelmsford, Massachusetts.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Carlos has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Rodriguez Iii

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) - RIA

Click below to view Carlos 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

January 2, 2018 - Present

BROAD BROOK FINANCIAL

RIA

CRD#: 173835

Chelmsford, MA

Past

January 29, 2015 - December 31, 2017

BROAD BROOK FINANCIAL

RIA

CRD#: 173835

CHELMSFORD, MA

Past

July 29, 2013 - December 31, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

BROAD BROOK, CT

Past

April 18, 2013 - December 31, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BROAD BROOK, CT

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

Massachusetts
(1/2/2018)

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

Series 63

Date: 7/15/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/2013

General Securities Representative Examination

Current Firm

BROAD BROOK FINANCIAL

BROAD BROOK FINANCIAL | BROAD BROOK FINANCIAL LLC

CRD#: 173835 / SEC#:

Connecticut

Registered Investment Advisory firm - (12/31/2017 Failure to Renew)

Massachusetts

Registered Investment Advisory firm - (1/2/2018 Approved)

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Contact information

Main Address

Chelmsford, MA

Mailing Address

Phone number

(860) 924-4139

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Carlos Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BROAD BROOK FINANCIAL

BROAD BROOK FINANCIAL

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/15/2013

SIE

Date: 12/31/2014

Series 7

Date: 4/17/2013

Current Firm

BROAD BROOK FINANCIAL

Contact information

Documents

Red Flags

Company Information

BROAD BROOK FINANCIAL

TRUST BUT VERIFY

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