Rodrigo G. De La Garza

SUMMA

Tomball, TX 77375

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CRD#: 2533089

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 Tomball, 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, Series 4, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rodrigo Gerardo Delagarza

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) Passive investment in Masters Destillers, LLC, Ft. Lauderdale, FL. 33308 - production, distribution and marketing of Salvador Mezcal. 2) SUMMA CORP; INVESTMENT-RELATED; INVESTMENT ADVISOR REPRESENTATIVE AND DIRECTOR/SECRETARY; 25219 KUYKENDAHL RD., SUITE 260; TOMBALL, TX 77375; SEC RIA; 06/06/2019; 100 HRS/MO; 80/MO DURING TRADING HRS. 3) INVESTMENT PLACEMENT GROUP; INVESTMENT-RELATED; 350 10TH AVE., SUITE 1150, SAN DIEGO, CA 92101; BROKER-DEALER; REGISTERED REPRESENTATIVE; 10/16/2019; 80 HRS/MO; 60 HRS/MO DURING TRADING HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodrigo Gerardo De La Garza's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

June 6, 2019 - Present

SUMMA CORP.

Office #1: 25219 Kuykendahl Rd Suite 260, Tomball, TX 77375

RIA

CRD#: 113091

Tomball, TX

Current

October 16, 2019 - Present

INVESTMENT PLACEMENT GROUP

Office #1: 501 West Broadway Suite 1350, San Diego, CA 92101

CRD#: 14458

SAN DIEGO, CA

Past

January 3, 2017 - October 15, 2019

INSIGHT SECURITIES, INC.

CRD#: 5611

Tomball, TX

Past

September 23, 2013 - January 9, 2017

LARADORBECKER SECURITIES CORPORATION

CRD#: 104440

THE WOODLANDS, TX

Past

April 9, 2013 - May 28, 2020

LBA ADVISORS LLC

RIA

CRD#: 164421

TOMBALL, TX

Past

September 16, 1994 - June 15, 2012

CONDOR SECURITIES, INC.

CRD#: 30406

NEW, 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".

SUMMA CORP.

SUMMA CORP. | SUMMA SECURITIES CORP.

CRD#: 113091 / SEC#: 801-107935

RIA

Registered Investment Advisory firm - (6/8/2016 Approved)

Texas

Registered Investment Advisory firm - (6/10/2016 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(2/13/2024)

Massachusetts
(2/13/2024)

Oklahoma
(2/13/2024)

IAR

Texas
(6/6/2019)

Texas
(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

State Security Law Exam

IAR

Series 66

Date: 1/26/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 4/27/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 27

Date: 7/1/2008

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/12/1999

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

SUMMA CORP.

SUMMA CORP. | SUMMA SECURITIES CORP.

CRD#: 113091 / SEC#: 801-107935

RIA

Registered Investment Advisory firm - (6/8/2016 Approved)

Texas

Registered Investment Advisory firm - (6/10/2016 Terminated)

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Contact information

Main Address

25219 Kuykendahl Rd Suite 260, Tomball, TX 77375

Mailing Address

Phone number

(281) 362-9977

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SUMMA - FORM ADV PART 2A BROCHURE (2/12/2025)

Regulatory assets under management

Total Number of Accounts	66
AUM (Assets Under Management)	$ 458,891,810

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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Advisor Monitoring

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Rodrigo G. De La Garza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodrigo Gerardo De La Garza's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLACEMENT GROUP

INSIGHT SECURITIES, INC.

LARADORBECKER SECURITIES CORPORATION

LBA ADVISORS LLC

CONDOR SECURITIES, INC.

Primary Firm SEC Registration

SUMMA CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/26/2012

Series 63

Date: 11/11/1994

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1994

Series 4

Date: 4/27/2010

Series 27

Date: 7/1/2008

Series 24

Date: 5/12/1999

FINRA

Nasdaq Stock Market

Current Firm

SUMMA CORP.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMA CORP.

TRUST BUT VERIFY

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