Alvaro F. Rodriguez
Professional summary
Alvaro Fabian Rodriguez, who also goes by Al Rodriguez, is a registered financial professional currently at ADP BROKER-DEALER, INC. located in Florham Park, New Jersey.
Alvaro is registered as a RR (Registered Representative) and started their career in finance in 1990. Alvaro has worked at 9 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alvaro Fabian Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2015 - Present
ADP BROKER-DEALER, INC.
Office #1: 71 Hanover Road, Florham Park, NJ 07932May 23, 2013 - June 9, 2015
CUNA BROKERAGE SERVICES, INC.
December 21, 2002 - September 9, 2004
METROPOLITAN LIFE INSURANCE COMPANY
December 21, 2002 - September 9, 2004
MSI FINANCIAL SERVICES, INC.
September 21, 2001 - September 22, 2004
NEW ENGLAND SECURITIES
November 20, 1998 - October 7, 1999
PAN-AMERICAN FINANCIAL ADVISERS
November 12, 1997 - March 4, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
July 20, 1990 - February 18, 1997
IDS LIFE INSURANCE COMPANY
July 20, 1990 - February 18, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2022)
(8/23/2022)
(8/16/2022)
(9/20/2021)
(4/26/2023)
(5/18/2018)
(9/25/2024)
(5/14/2025)
(3/4/2019)
(2/6/2024)
(8/7/2024)
(6/8/2015)
(11/3/2017)
Exams
FINRA
Current Firm
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
Red Flags
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