Marcelo P. Rodriguez
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.
Marcelo P Rodriguez, who also goes by Marcelo Pablo Rodriguez, Marcelo Rodriguez, Pablo Rodriguez, Marcelo Pablo Rodrigvez, was a registered financial professional .
Marcelo is a previously registered financial professional and started their career in finance in 2002. Marcelo had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 26 and Series 51 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2020 - November 26, 2021
PRUCO SECURITIES, LLC.
September 24, 2020 - November 26, 2021
PRUCO SECURITIES, LLC.
May 20, 2019 - September 30, 2020
W&S BROKERAGE SERVICES, INC.
May 20, 2019 - September 30, 2020
W&S BROKERAGE SERVICES, INC.
December 21, 2017 - April 22, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 20, 2017 - April 22, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 31, 2017 - December 12, 2017
VALIC FINANCIAL ADVISORS, INC.
August 31, 2017 - December 12, 2017
VALIC FINANCIAL ADVISORS, INC.
February 3, 2017 - September 1, 2017
EAGLE STRATEGIES LLC
April 11, 2016 - September 1, 2017
NYLIFE SECURITIES LLC
October 6, 2015 - January 11, 2016
OSAIC SERVICES, INC.
October 6, 2015 - January 11, 2016
OSAIC SERVICES, INC.
February 15, 2013 - August 19, 2015
PRUCO SECURITIES, LLC.
July 3, 2012 - August 19, 2015
PRUCO SECURITIES, LLC.
November 5, 2002 - March 2, 2010
AMERICAN FAMILY SECURITIES, LLC
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 10/8/2022
General Securities Representative ExaminationSeries 6TO
Date: 10/8/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
