ER
Edward H. Rodriguez
CETERA INVESTMENT ADVISERS LLC
SCOTTSDALE, AZ 85260
Some features on this profile are disabled
CRD#: 3227568
ER
Professional summary
Edward Henry Rodriguez, who also goes by Ed Rodriguez, Edward H Rodriguez, Edward Rodriguez, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Scottsdale, Arizona and CETERA WEALTH SERVICES, LLC located in Scottsdale, Arizona.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Edward has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ed Rodriguez | Edward H Rodriguez | Edward 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.
1) REAGAN CAPITAL, LLC POSITION: Manager NATURE: I own Reagan Capital, LLC which is an entity that holds my interest in both Calise Enterprises and CFR Capital Group (both previously disclosed) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/15/2016 ADDRESS: 3230 E Thomas Rd, Unit 162, Mesa AZ 85213, United States DESCRIPTION: The sole purpose of this entity is to hold the ownership interest in both Calise Enterprises and CFR Capital Group. There are no duties tied to this entity, as it just holds my ownership of the two entities 2) CALISE ENTERPRISES, LLC DBA H&R BLOCK POSITION: Manager NATURE: tax preparation, tax planning, tax consulting, payroll services, bookkeeping INVESTMENT RELATED: No NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 02/10/2011 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: manage the office, review tax returns, do not actually prepare any tax returns, meet with clients on tax savings strategies when needed, own three H+R Block Franchise locations 3) CFR CAPITAL GROUP, LLC POSITION: Manager NATURE: financial planning, investment planning, estate planning, retirement planning, risk analysis INVESTMENT RELATED: Yes NUMBER OF HOURS: 70 SECURITIES TRADING HOURS: 70 START DATE: 05/09/2006 ADDRESS: 8776 E Shea Blvd, Suite 102, Scottsdale AZ 85260, United States DESCRIPTION: meet with clients, analyze current financial situation, discuss time horizon, risk tolerance, consider areas that can be improved, review products, give recommendations. 4) DE ANZA IMPORTS, LLC POSITION: Member NATURE: set up entity for future business for my wifeKarla Karina Rodriguez to sell home made arts and crafts, not active at this time INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/21/2023 ADDRESS: 3230 E Thomas Rd, Unit 162, Mesa AZ 85213, United States DESCRIPTION: No duties at this time, entity is not active 5) THE RODRIGUEZ FAMILY TRUST DTD 9/10/16 POSITION: Co-Trustee NATURE: living trust for myself and wife Karla Karina Rodriguez INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/10/2016 ADDRESS: 3230 E Thomas Rd, Unit 162, Mesa AZ 85213, United States DESCRIPTION: management of trust, do not need to file separate tax return and don't have accounts in trust name, this is the extent of my duties 6) GLOBAL ATLANTIC IMO POSITION: Financial Advisor NATURE: Setup to allow for servicing of prior annuities with Global Atlantic via Financial Independence Group INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/20/2023 ADDRESS: 6929 East Greenway Pkwy, Suite 170, Scottsdale AZ 85254, United States DESCRIPTION: Service accounts as needed
CRS (Client Relationship Summary) - RIA
Click below to view Edward Henry 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®
NoneExperience
Current
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 8776 E Shea Blvd Suite 102, Scottsdale, AZ 85260Office #2: 6929 E. Greenway Parkway Suite 150, Scottsdale, AZ 85254RIA
CRD#: 105644
SCOTTSDALE, AZ
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 6929 E. Greenway Parkway Suite 170, Scottsdale, AZ 85254BD
CRD#: 13572
Scottsdale, AZ
Past
June 22, 2023 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Scottsdale, AZ
Past
June 20, 2023 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Scottsdale, AZ
Past
December 27, 2018 - June 26, 2023
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
SCOTTSDALE, AZ
Past
December 26, 2018 - June 26, 2023
SECURITIES AMERICA, INC.
BD
CRD#: 10205
SCOTTSDALE, AZ
Past
July 27, 2011 - December 31, 2018
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
GILBERT, AZ
Past
July 18, 2011 - December 31, 2018
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
SEDONA, AZ
Past
August 19, 2009 - July 20, 2011
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
GILBERT, AZ
Past
August 12, 2009 - July 20, 2011
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
GILBERT, AZ
Past
July 13, 2007 - August 18, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
GILBERT, AZ
Past
July 13, 2007 - August 18, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
GILBERT, AZ
Past
January 9, 2007 - July 26, 2007
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MESA, AZ
Past
December 1, 2006 - July 26, 2007
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MESA, AZ
Past
August 10, 2006 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MESA, AZ
Past
December 7, 2005 - August 14, 2006
OSAIC WEALTH, INC.
RIA
CRD#: 23131
MESA, AZ
Past
November 16, 2005 - August 14, 2006
OSAIC WEALTH, INC.
BD
CRD#: 23131
MESA, AZ
Past
April 5, 2005 - November 21, 2005
UNIFIED WEALTH MANAGEMENT, LLC
RIA
CRD#: 133202
SCOTTSDALE, AZ
Past
September 16, 2004 - November 25, 2005
GUNNALLEN FINANCIAL, INC
RIA
CRD#: 17609
FOUNTAIN HILLS, AZ
Past
September 1, 2004 - November 25, 2005
GUNNALLEN FINANCIAL, INC
BD
CRD#: 17609
TAMPA, FL
Past
May 12, 2004 - October 11, 2004
OSAIC WEALTH, INC.
RIA
CRD#: 23131
MESA, AZ
Past
January 17, 2003 - February 23, 2006
LIBERTY CAPITAL MANAGEMENT, INC.
RIA
CRD#: 109254
SANTA ANA, CA
Past
June 25, 2002 - October 11, 2004
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
January 18, 2002 - June 25, 2002
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
February 8, 2001 - January 22, 2002
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
June 21, 1999 - January 19, 2001
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.RR
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
RR
Alabama(9/5/2025)
RR
Arizona(9/5/2025)
IAR
Arizona(9/5/2025)
RR
California(9/5/2025)
RR
Colorado(9/5/2025)
RR
Florida(9/5/2025)
RR
Georgia(9/5/2025)
RR
Kansas(9/5/2025)
RR
Minnesota(9/5/2025)
RR
Nevada(9/5/2025)
RR
New Hampshire(9/5/2025)
RR
New York(9/5/2025)
RR
Oregon(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Utah(9/5/2025)
RR
Virginia(9/5/2025)
RR
Washington(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
