Rodrigo Gerardo De La Garza
Professional Summary
Rodrigo Gerardo De La Garza, who also goes by Rodrigo Gerardo Delagarza, is a registered financial advisor currently at SUMMA CORP. located in The Woodlands, Texas and INVESTMENT PLACEMENT GROUP located in San Diego, California. Rodrigo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Rodrigo has worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rodrigo Gerardo Delagarza
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
SUMMA CORP. | SUMMA SECURITIES CORP.
Contact Information
Main Address
1790 Hughes Landing Blvd. Suite 470, The Woodlands, TX 77380Phone Number
(281) 362-9977# of Employees
5SEC notice filing (1 States and Territories)
Registered to provide investment advisory services in 1 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
88AUM (Assets Under Management)
$1,586,540,509Similar Advisors
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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.
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Primary Firm SEC Registration
SUMMA CORP. | SUMMA SECURITIES CORP.
State Registrations and Notice Filings
(2/13/2024)
(2/13/2024)
(2/13/2024)
(6/6/2019)
(10/16/2019)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Rodrigo Gerardo De La Garza's CRS (Customer Relationship Summary).
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