Sergio 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.
Sergio Rodriguez JR, who also goes by Sergio Rodriguez, Sergio Rodriguez Rodriguez, was a registered financial professional .
Sergio is a previously registered financial professional and started their career in finance in 1994. Sergio had worked at 7 firms and has passed the SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2015 - November 18, 2016
KOVACK SECURITIES INC.
September 10, 1999 - October 15, 2015
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
September 10, 1999 - October 15, 2015
UBS FINANCIAL SERVICES INC.
May 21, 1997 - September 9, 1999
POPULAR SECURITIES, LLC
August 14, 1995 - May 21, 1997
MARKETING ONE SECURITIES, INC.
December 6, 1994 - April 7, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
December 6, 1994 - April 7, 1995
SIGNATOR INVESTORS, INC.
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
Current Firm
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
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.
