Gustavo Rodrigo

SUTTER SECURITIES

Boca Raton, FL 33431

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CRD#: 3031284

Professional summary

Gustavo Rodrigo III, who also goes by Gustavo III Rodrigo, is a registered financial professional currently at SUTTER SECURITIES INCORPORATED located in Boca Raton, Florida.

Gustavo is registered as a RR (Registered Representative) and started their career in finance in 1998. Gustavo has worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gustavo Iii Rodrigo

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 Gustavo Rodrigo III'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

January 17, 2021 - Present

SUTTER SECURITIES INCORPORATED

Office #1: 2500 N. Military Trail Suite 306, Boca Raton, FL 33431

CRD#: 30770

Boca Raton, FL

Past

January 15, 2021 - August 29, 2024

BOUSTEAD SECURITIES, LLC

CRD#: 141391

Boca Raton, FL

Past

November 7, 2014 - January 25, 2021

WESTPARK CAPITAL, INC.

CRD#: 39914

BOCA RATON, FL

Past

October 26, 2012 - August 2, 2013

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

MIAMI, FL

Past

September 21, 2011 - March 23, 2012

CALDWELL INTERNATIONAL SECURITIES

CRD#: 104323

NASSAU,

Past

July 9, 2010 - September 8, 2011

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

FT. LAUDERDALE, FL

Past

November 16, 2006 - March 12, 2010

INVESTORS CAPITAL CORP.

CRD#: 30613

CORAL GABLES, FL

Past

April 26, 2005 - October 4, 2006

CHICAGO INVESTMENT GROUP, LLC

CRD#: 11853

BOCA RATON, FL

Past

April 29, 2002 - April 21, 2005

GUNNALLEN FINANCIAL, INC

CRD#: 17609

TAMPA, FL

Past

August 10, 2001 - May 3, 2002

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

August 25, 1998 - August 28, 2001

FIRST LIBERTY INVESTMENT GROUP, INC.

CRD#: 3536

PHILADELPHIA, PA

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

Arizona
(2/24/2021)

California
(1/17/2021)

Colorado
(1/17/2021)

Connecticut
(1/27/2021)

Florida
(1/22/2021)

Georgia
(2/12/2021)

Idaho
(1/17/2021)

Illinois
(2/4/2021)

Indiana
(5/9/2021)

Louisiana
(2/23/2021)

Maryland
(1/19/2021)

Massachusetts
(1/17/2021)

Minnesota
(3/23/2021)

Mississippi
(1/17/2021)

Nevada
(1/17/2021)

New Jersey
(1/17/2021)

New Mexico
(2/2/2021)

New York
(1/17/2021)

North Carolina
(1/17/2021)

Ohio
(3/3/2021)

South Carolina
(2/1/2021)

Texas
(1/17/2021)

Utah
(1/28/2021)

Vermont
(1/31/2021)

Washington
(1/17/2021)

Wisconsin
(1/26/2021)

Wyoming
(1/21/2021)

Exams

State Security Law Exam

Series 63

Date: 9/2/1998

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: 8/24/1998

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SUTTER SECURITIES INCORPORATED

S & D SECURITIES, INC. | SUTTER SECURITIES, INC. | SUTTER SECURITIES INCORPORATED

CRD#: 30770 / SEC#: , 8-45158

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

6 Venture, Suite 395 Suite 395, Irvine, CA 92618

Mailing Address

6 Venture, Suite 395 Suite 395, Irvine, CA 92618

Phone number

(415) 352-6300

Established

California since 07/22/1992

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS)	SHAREHOLDER
BULL, ROBERT LEE IV	FINOP	1521134
CHOMATIL, NEHRU SUBRAMANIAN	CHIEF COMPLIANCE OFFICER	2342004
MALEY, ROBERT ANDREW	EXECUTIVE VICE PRESIDENT	2442794
MATTHEWS, GILBERT ELLIOTT	SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN
SMITH, LINCOLN JOSEPH JR	PRESIDENT, CEO	2501422

Disclosures

Regulatory Event	1
Bond	1

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

Gustavo Rodrigo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gustavo Rodrigo III's CRS (Customer Relationship Summary).

Certified licenses

Experience

BOUSTEAD SECURITIES, LLC

WESTPARK CAPITAL, INC.

WOODSTOCK FINANCIAL GROUP, INC.

CALDWELL INTERNATIONAL SECURITIES

NEWBRIDGE SECURITIES CORPORATION

INVESTORS CAPITAL CORP.

CHICAGO INVESTMENT GROUP, LLC

GUNNALLEN FINANCIAL, INC

FIRST MONTAUK SECURITIES CORP.

FIRST LIBERTY INVESTMENT GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/2/1998

SIE

Date: 10/1/2018

Series 7

Date: 8/24/1998

FINRA

Current Firm

SUTTER SECURITIES INCORPORATED

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SUTTER SECURITIES INCORPORATED

TRUST BUT VERIFY

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