Mario A. Rodriguez

RIDGE CAPITAL ADVISORS

CARMICHAEL, CA 95608

Some features on this profile are disabled

CRD#: 2796528

Professional summary

Mario Antonio Rodriguez is a registered financial advisor currently at RIDGE CAPITAL ADVISORS, LLC located in Carmichael, California.

Mario is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Mario has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 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) Ridge Capital Advisors, LLC; investment related; Carmichael, CA; Investment Advisor; Investment Advisor Representative; 11/2017; 60 hours per month, substantially all during market hours; providing investment advice. (2) NET WORTH CONSULTING, LLC; dba for Insurance sales activities; Investment Related; CARMICHAEL, CA; Insurance sales; OWNER; SINCE 05/2015; 60 HRS/MONTH, substantially all during market hours; Insurance sales; LICENSED INSURANCE AGENT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Antonio 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®

None

Experience

Current

November 22, 2017 - Present

RIDGE CAPITAL ADVISORS, LLC

Office #1: 5740 Windmill Way #13, Carmichael, CA 95608

RIA

CRD#: 283756

CARMICHAEL, CA

Past

September 2, 2015 - December 31, 2018

NET WORTH CONSULTING, LLC

RIA

CRD#: 277140

CARMICHAEL, CA

Past

May 16, 2005 - September 1, 2015

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

CARMICHAEL, CA

Past

May 16, 2005 - September 1, 2015

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

CARMICHAEL, CA

Past

January 16, 2002 - May 18, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CARMICHAEL, CA

Past

July 30, 2001 - May 18, 2005

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

September 17, 1996 - August 2, 2001

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

September 17, 1996 - August 2, 2001

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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
(11/22/2017)

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: 11/26/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/1/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/1996

General Securities Representative Examination

Current Firm

RIDGE CAPITAL ADVISORS, LLC

RIDGE CAPITAL ADVISORS, LLC | RIDGE CAPITAL TRADING L.L.C.

CRD#: 283756 / SEC#:

Arizona

Registered Investment Advisory firm - (1/1/2017 Approved)

California

Registered Investment Advisory firm - (11/16/2017 Approved)

Louisiana

Registered Investment Advisory firm - (12/12/2019 Terminated)

Maryland

Registered Investment Advisory firm - (6/14/2019 Approved)

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).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

10371 N. Oracle Rd. Suite 102, Oro Valley, AZ 85737

Mailing Address

Phone number

(520) 544-7607

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	29
AUM (Assets Under Management)	$ 4,039,591

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.

Similar Advisors

Jesus Zepeda

PFS INVESTMENTS INC.

SACRAMENTO, CA

Kenneth Christie

SPECTRUM WEALTH ADVISORY GROUP, LLC

IAR

Granite Bay, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Mario A. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mario Antonio Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

NET WORTH CONSULTING, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/26/2001

Series 63

Date: 9/11/1996

SIE

Date: 9/1/2015

Series 7

Date: 9/16/1996

Current Firm

RIDGE CAPITAL ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RIDGE CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors