Marco A. Rodriguez
Professional summary
Marco Andres Rodriguez, who also goes by Marco Rodriguez, is a registered financial advisor currently at LEE FINANCIAL COMPANY, LLC located in Dallas, Texas.
Marco is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Marco has worked at 5 firms and has passed the Series 63, Series 65, Series 99TO, Series 79TO, SIE, Series 87, Series 7, Series 6, Series 24, Series 28 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Marco Andres Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2022 - Present
LEE FINANCIAL COMPANY, LLC
Office #1: 8350 N. Central Expressway Suite 1800, Dallas, TX 75206December 7, 2007 - October 5, 2022
STONEGATE CAPITAL MARKETS, INC.
February 20, 2004 - June 14, 2006
ROTH CAPITAL PARTNERS, LLC
August 3, 1994 - December 8, 1999
VOYA FINANCIAL ADVISORS, INC.
June 14, 1993 - August 10, 1994
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(9/28/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 28
Date: 8/20/2009
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
LEE FINANCIAL COMPANY, LLC
CRD#: 105910 / SEC#: 801-10722
Contact information
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,677 |
| AUM (Assets Under Management) | $ 1,496,621,112 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 10/23/2023 | ||
| 01/23/2023 |
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.
Company Information
LEE FINANCIAL COMPANY, LLC
CRD#: 105910Dallas, TX 75206TRUST BUT VERIFY
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