Victor M. Rodriguez
Professional summary
Victor Michael Rodriguez, who also goes by VIctor M Rodriguez, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in Fort Myers, Florida.
Victor is registered as a RR (Registered Representative) and started their career in finance in 1999. Victor has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Victor Michael Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 4, 2026 - Present
CETERA WEALTH SERVICES, LLC
April 21, 2023 - June 5, 2026
EDWARD JONES
April 20, 2023 - June 5, 2026
EDWARD JONES
November 1, 2021 - April 19, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 2021 - April 19, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 2003 - April 2, 2004
UBS FINANCIAL SERVICES INC.
March 23, 2001 - May 13, 2003
CITIGROUP GLOBAL MARKETS INC.
July 30, 1999 - February 1, 2001
METROPOLITAN LIFE INSURANCE COMPANY
July 30, 1999 - February 1, 2001
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/8/2026)
(6/5/2026)
(6/8/2026)
(6/11/2026)
(6/8/2026)
(6/5/2026)
(6/8/2026)
(6/8/2026)
(6/4/2026)
(6/8/2026)
(6/8/2026)
Exams
Series 7TO
Date: 7/2/2021
General Securities Representative ExaminationFINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 20 |
| Civil Event | 2 |
| Arbitration | 15 |
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.
