RR
Roderick Rodriguez
OSAIC INSTITUTIONS
Bronx, NY 10458
Some features on this profile are disabled
CRD#: 2680445
RR
Professional summary
Roderick Rodriguez, who also goes by Roderick Rodriquez, is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Bronx, New York.
Roderick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Roderick has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roderick Rodriquez
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Roderick Rodriguez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roderick Rodriguez's 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®
NoneExperience
Current
September 29, 2020 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 301 East Fordham Road, Bronx, NY 10458Office #2: 374 E. 149th St., Bronx, NY 10455Office #3: 918 Seneca Avenue, Ridgewood, NY 11385Office #4: 645 East Tremont Ave, Bronx, NY 10457Office #5: 28-36 Steinway Street, Long Island City, NY 11103Office #6: 83-22 Baxter Avenue, Elmhurst, NY 11373RIA
BD
CRD#: 35371
Bronx, NY
Current
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 301 East Fordham Road, Bronx, NY 10458Office #2: 374 E. 149th St., Bronx, NY 10455Office #3: 918 Seneca Avenue, Ridgewood, NY 11385Office #4: 645 East Tremont Ave, Bronx, NY 10457Office #5: 28-36 Steinway Street, Long Island City, NY 11103Office #6: 83-22 Baxter Avenue, Elmhurst, NY 11373RIA
BD
CRD#: 35371
Bronx, NY
Past
January 22, 2016 - February 24, 2016
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
February 16, 2010 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
BRONX, NY
Past
March 4, 2008 - February 17, 2010
LPL FINANCIAL LLC
BD
CRD#: 6413
NEW YORK, NY
Past
April 1, 2003 - March 4, 2008
IFMG SECURITIES, INC.
BD
CRD#: 14416
BRONX, NY
Past
April 23, 1998 - April 1, 2003
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
September 17, 1996 - April 6, 1998
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
July 29, 1996 - August 22, 1996
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
Past
March 25, 1996 - July 29, 1996
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, 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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
Florida(7/1/2016)
RR
Massachusetts(10/1/2019)
RR
New Jersey(7/1/2016)
IAR
New Jersey(9/29/2020)
RR
New York(7/1/2016)
IAR
New York(7/13/2021)
RR
North Carolina(1/5/2021)
RR
Puerto Rico(7/1/2016)
RR
Virginia(7/1/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
