Eric Rodriguez
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.
Eric Rodriguez, CFP® was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 2004. Eric had worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
December 7, 2021 - March 19, 2024
CETERA INVESTMENT ADVISERS LLC
November 22, 2021 - March 19, 2024
CETERA INVESTMENT SERVICES LLC
April 27, 2012 - June 15, 2012
GRADIENT SECURITIES, LLC
June 8, 2011 - July 27, 2011
M HOLDINGS SECURITIES, INC.
June 6, 2011 - July 27, 2011
M HOLDINGS SECURITIES, INC.
July 23, 2007 - July 19, 2021
RODRIGUEZ INVESTMENT ADVISORY, INC.
July 8, 2005 - October 4, 2005
USA FINANCIAL SECURITIES LLC
November 19, 2004 - July 13, 2005
USALLIANZ SECURITIES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 11/20/2021
General Securities Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
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.
