Rodney Balbuena

SAGEVIEW ADVISORY GROUP

Newport Beach, CA 92660

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CRD#: 2571058

Professional summary

Rodney Balbuena is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Newport Beach, California.

Rodney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Rodney has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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: SAGEVIEW ADVISORY GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 5/2015 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: FINANCIAL PLANNING AND ASSET MANAGEMENT ; 2) NAME OF OTHER BUSINESS: CENTER FOR NON-PROFIT MANAGEMENT ; INVESTMENT RELATED: NO ; ADDRESS: 1000 NORTH ALAMEDA, LOS ANGELES, CA 90012 NATURE OF BUSINESS: NON-PROFIT START DATE: 10/2019 ; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: PROVIDING OVERSIGHT GUIDANCE. RESPONSIBLE FOR ATTENDING BOARD MEETINGS AND PARTICIPATING IN ANNUAL AUDIT DISCUSSIONS AND ANNUAL REVIEW ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Balbuena'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

May 6, 2015 - Present

SAGEVIEW ADVISORY GROUP, LLC

Office #1: 4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

RIA

CRD#: 126777

Newport Beach, CA

Past

May 5, 2015 - July 6, 2020

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

PASADENA, CA

Past

May 5, 2015 - July 6, 2020

CETERA WEALTH SERVICES, LLC

CRD#: 13572

PASADENA, CA

Past

August 28, 2014 - April 14, 2015

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

GLENDALE, CA

Past

January 4, 2007 - April 14, 2015

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

GLENDALE, CA

Past

September 21, 2006 - December 31, 2006

GBS RETIREMENT SERVICES, INC.

CRD#: 34889

ROLLING MEADOWS, IL

Past

September 11, 2003 - August 15, 2006

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

GLENDALE, CA

Past

September 11, 2003 - August 15, 2006

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

GLENDALE, CA

Past

October 14, 2002 - April 22, 2003

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

February 21, 1995 - November 14, 1997

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

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".

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 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.

Highlighted states indicate IAR registrations

IAR

California
(5/6/2015)

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 65

Date: 8/28/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/2/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/11/2002

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS

CRD#: 126777 / SEC#: 801-64265

RIA

Registered Investment Advisory firm - (5/31/2005 Approved)

California

Registered Investment Advisory firm - (6/7/2005 Terminated)

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Contact information

Main Address

4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660

Mailing Address

Phone number

(800) 814-8742

Established

Firm type

Fiscal year end

# of Employees

248

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAGEVIEW ADVISORY GROUP ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,295
AUM (Assets Under Management)	$ 238,552,018,915

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

Rodney Balbuena

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rodney Balbuena's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

GBS RETIREMENT SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

SAGEVIEW ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/28/2014

Series 63

Date: 12/2/2003

SIE

Date: 10/1/2018

Series 6

Date: 10/11/2002

Current Firm

SAGEVIEW ADVISORY GROUP, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAGEVIEW ADVISORY GROUP, LLC

TRUST BUT VERIFY

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