Juan C. 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.
Juan Carlos Rodriguez, who also goes by Juan C Rodriguez, Juan Rodriguez, Juan Carlos Rodriguez, was a registered financial professional .
Juan is a previously registered financial professional and started their career in finance in 1996. Juan had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 6TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 22, 2024 - November 4, 2025
MORGAN STANLEY
September 20, 2023 - June 3, 2024
E*TRADE SECURITIES LLC
January 9, 2023 - November 4, 2025
MORGAN STANLEY
December 19, 2022 - September 5, 2023
E*TRADE SECURITIES LLC
June 12, 2019 - August 8, 2022
ROBINHOOD SECURITIES, LLC
June 12, 2019 - August 8, 2022
ROBINHOOD FINANCIAL, LLC
April 11, 2018 - May 21, 2019
NEWPORT GROUP SECURITIES, INC.
January 3, 2017 - April 10, 2018
DWS DISTRIBUTORS, INC.
June 27, 2014 - December 28, 2015
BARCLAYS CAPITAL INC.
May 18, 2012 - June 23, 2016
BARCLAYS CAPITAL INC.
October 3, 2009 - May 26, 2010
CITIGROUP GLOBAL MARKETS INC.
June 9, 2009 - August 5, 2009
CITIGROUP GLOBAL MARKETS INC.
June 1, 2009 - May 30, 2012
MORGAN STANLEY
March 8, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 17, 2004 - February 2, 2006
EMPIRE FINANCIAL GROUP, INC.
February 27, 2001 - September 14, 2004
PRUDENTIAL EQUITY GROUP, LLC
February 21, 2001 - June 24, 2002
PRUCO SECURITIES, LLC.
January 7, 2000 - July 19, 2000
PRUDENTIAL EQUITY GROUP, LLC
December 22, 1999 - June 2, 2000
PRUCO SECURITIES, LLC.
January 26, 1998 - September 14, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 1, 1997 - January 2, 1998
ADP BROKER-DEALER, INC.
June 20, 1996 - June 30, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/7/2005
Limited Representative-Equity Trader ExamCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
