Rafael D. Rodriguez

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CRD#: 2297979

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.

Rafael David Rodriguez, who also goes by Rafael D Rodriguez, Rafael Rodriguez, Rafael David Rodriguez Bobadilla, Rafael Rodriguez Bobadilla, was a registered financial professional .

Rafael is a previously registered financial professional and started their career in finance in 1992. Rafael had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rafael D Rodriguez | Rafael Rodriguez | Rafael David Rodriguez Bobadilla | Rafael Rodriguez Bobadilla

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) NAME OF OTHER BUSINESS:Torre Antonsanti 1500/ INVESTMENT RELATED?: Yes / ADDRESS:Complejo Ciudadela, Apt. 1523, San Juan San Juan Puerto Rico 00918/ NATURE OF THE BUSINESS: Rental Property Produce Rental Income/ POSITION:Owner / DUTIES:None. My wife is the person in charge of administration./ START DATE: 7/1/2020

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

September 2, 2021 - February 2, 2023

FSAM LLC

RIA

CRD#: 287851

Guaynabo, PR

Past

May 27, 2021 - February 2, 2023

FIRST SOUTHERN, LLC

CRD#: 282756

GUAYNABO, PR

Past

May 21, 2021 - June 1, 2021

FSAM LLC

RIA

CRD#: 287851

Guaynabo, PR

Past

July 13, 2018 - April 23, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SAN JUAN, PR

Past

July 21, 2008 - April 23, 2021

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

CRD#: 13042

SAN JUAN, PR

Past

July 21, 2008 - April 23, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

SAN JUAN, PR

Past

January 31, 2005 - July 22, 2008

SANTANDER SECURITIES LLC

CRD#: 41791

GUAYNABO, PR

Past

May 19, 2004 - February 3, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 28, 2000 - May 18, 2004

SANTANDER SECURITIES LLC

CRD#: 41791

BOSTON, MA

Past

December 12, 1992 - February 28, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

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

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 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: 11/1/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/5/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/23/1992

General Securities Representative Examination

Current Firm

FSAM LLC

FIRST SOUTHERN ASSET MANAGEMENT LLC | FSAM LLC | FIRST SOUTHERN ASSET MANAGEMENT, LLC

CRD#: 287851 / SEC#: 801-122054

RIA

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

Georgia

Registered Investment Advisory firm - (4/18/2022 Terminated)

Puerto Rico

Registered Investment Advisory firm - (3/30/2022 Terminated)

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Contact information

Main Address

1720 Windward Concourse Suite 115, Alpharetta, GA 30005

Mailing Address

Phone number

(770) 777-9373

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

FSAM, LLC PART 2A FIRM BROCHURE (10/15/2025)

FSAM LLC WRAP FEE BROCHURE (4/1/2025)

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 112,853,411

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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Firm Stability Insights

Rafael D. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FIRST SOUTHERN, LLC

FSAM LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

UBS FINANCIAL SERVICES INC.

SANTANDER SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

SANTANDER SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

FSAM LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/2007

Series 63

Date: 6/5/1993

SIE

Date: 10/1/2018

Series 7

Date: 11/23/1992

Current Firm

FSAM LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FSAM LLC

TRUST BUT VERIFY

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