Philip M. Rodriguez

CEROS FINANCIAL SERVICES

New York, NY 10004

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CRD#: 2703233

Professional summary

Philip Mathew Rodriguez, who also goes by Mathews Mathew, Philip Mathews, is a registered financial professional currently at CEROS FINANCIAL SERVICES, INC. located in New York, New York.

Philip is registered as a RR (Registered Representative) and started their career in finance in 1996. Philip has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mathews Mathew | Philip Mathews

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Mathew Rodriguez'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

July 20, 2022 - Present

CEROS FINANCIAL SERVICES, INC.

Office #1: 80 Broad Street 29th Floor, New York, NY 10004

CRD#: 37869

New York, NY

Past

July 12, 2001 - July 22, 2022

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEW YORK, NY

Past

May 18, 2001 - June 14, 2001

PARKER FINANCIAL CORP.

CRD#: 42140

VALLEY COTTAGE, NY

Past

November 11, 1998 - April 24, 2001

PRESTON LANGLEY ASSET MANAGEMENT, INC.

CRD#: 35733

NEW YORK, NY

Past

October 2, 1998 - October 26, 1998

FAB SECURITIES OF AMERICA, INC.

CRD#: 28212

NEW YORK, NY

Past

July 14, 1997 - October 19, 1998

ROYCE INVESTMENT GROUP, INC.

CRD#: 10494

WOODBURY, NY

Past

October 16, 1996 - July 10, 1997

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

Past

August 30, 1996 - October 23, 1996

CORTLANDT CAPITAL CORPORATION

CRD#: 25152

NEW YORK CITY, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(9/1/2022)

Arizona
(7/20/2022)

California
(7/20/2022)

Colorado
(7/20/2022)

Connecticut
(7/22/2022)

Delaware
(7/20/2022)

District of Columbia
(7/20/2022)

Florida
(7/20/2022)

Georgia
(8/17/2022)

Idaho
(8/9/2022)

Illinois
(8/18/2022)

Indiana
(8/8/2022)

Iowa
(7/21/2022)

Kansas
(7/20/2022)

Kentucky
(9/7/2022)

Louisiana
(7/20/2022)

Maine
(7/21/2022)

Maryland
(7/20/2022)

Massachusetts
(2/10/2025)

Michigan
(7/20/2022)

Minnesota
(8/9/2022)

Nebraska
(7/20/2022)

Nevada
(11/1/2024)

New Hampshire
(10/15/2024)

New Jersey
(7/20/2022)

New Mexico
(7/20/2022)

New York
(7/20/2022)

North Carolina
(7/22/2022)

North Dakota
(7/20/2022)

Ohio
(7/20/2022)

Oklahoma
(7/21/2022)

Oregon
(7/20/2022)

Pennsylvania
(7/20/2022)

Puerto Rico
(7/20/2022)

South Carolina
(8/9/2022)

Tennessee
(7/20/2022)

Texas
(7/20/2022)

Utah
(7/20/2022)

Vermont
(10/11/2024)

Virginia
(7/20/2022)

Washington
(8/8/2022)

Exams

State Security Law Exam

Series 63

Date: 10/22/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/1996

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

CRD#: 37869 / SEC#: , 8-47955

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Mailing Address

1445 Research Boulevard Suite 530, Rockville, MD 20850

Phone number

(866) 842-3356

Established

Massachusetts since 09/30/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
DGB HOLDINGS, LLC	OWNER
AYERS-RIGSBY, MARY CATHERINE	PRESIDENT	830349
GOLDWASSER, MARK HARRY	CEO	1334008
GREENE, JON CHRISTOPHER	ROSFP	3202524
HOLLAND, ANGELA LYNNETTE	CHIEF COMPLIANCE OFFICER	3166586
POWELL, KIM ULMAN	CHIEF FINANCIAL OFFICER	6244231
WILSON, DANIEL	AMLCO	6763074

Disclosures

Regulatory Event

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

Firm Stability Insights

Philip M. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip Mathew Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL SECURITIES CORPORATION

PARKER FINANCIAL CORP.

PRESTON LANGLEY ASSET MANAGEMENT, INC.

FAB SECURITIES OF AMERICA, INC.

ROYCE INVESTMENT GROUP, INC.

JOSEPH STEVENS & CO., INC.

CORTLANDT CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/22/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/29/1996

FINRA

Nasdaq Stock Market

Current Firm

CEROS FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CEROS FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

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