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Stephen R. Rodriguez

Some features on this profile are disabled
CRD#: 2769564
SR

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.

Stephen Randall Rodriguez, who also goes by Steve Rodriguez, was a registered financial professional .

Stephen is a previously registered financial professional and started their career in finance in 1996. Stephen had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Rodriguez

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 1, 2009 - September 2, 2011

STRATEGIC FINANCIAL PARTNERS

RIA
CRD#: 148349
HOLLISTER, CA
Past

January 30, 2008 - March 27, 2012

OMNIVEST, INC.

BD
CRD#: 13396
DENVER, CO
Past

November 21, 2007 - January 10, 2008

WOODSTOCK FINANCIAL GROUP, INC.

BD
CRD#: 38095
WOODSTOCK, GA
Past

August 23, 2007 - August 24, 2007

FFEC WEALTH PARTNERS LLC

RIA
CRD#: 16507
GREENWOOD VILLAGE, CO
Past

August 23, 2007 - August 24, 2007

FFEC WEALTH PARTNERS LLC

BD
CRD#: 16507
GREENWOOD VILLAGE, CO
Past

July 3, 2006 - September 21, 2007

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
DENVER, CO
Past

July 3, 2006 - September 21, 2007

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
DENVER, CO
Past

July 1, 2003 - June 29, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GREENWOOD VILLAGE, CO
Past

July 1, 2003 - June 29, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
GREENWOOD VILLAGE, CO
Past

January 1, 1999 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA
CRD#: 7471
GREENWOOD VILG, CO
Past

May 12, 1998 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

August 1, 1996 - May 6, 1998

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 5/28/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/26/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/8/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 7/31/1996
Municipal Securities Representative Examination

Current Firm

SF
STRATEGIC FINANCIAL PARTNERS
AVALLI, FRED ANTHONY | STRATEGIC CAPITAL PARTNERS | STRATEGIC FINANCIAL PARTNERS

CRD#: 148349 / SEC#:

PREMIUM
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Contact information

Main Address
Hollister, CA
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

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.

Company Information

STRATEGIC FINANCIAL PARTNERS

CRD#: 148349

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