Miguel D. Rodriguez
Professional summary
Miguel De Jesus Rodriguez, who also goes by Miguel Rodriguez, is a registered financial advisor currently at OSAIC WEALTH, INC. located in Coral Springs, Florida.
Miguel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Miguel has worked at 2 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Miguel De Jesus Rodriguez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Miguel De Jesus Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 4, 2005 - Present
OSAIC WEALTH, INC.
Office #1: 5421 University Drive Suite 101, Coral Springs, FL 33067October 22, 2004 - Present
OSAIC WEALTH, INC.
Office #1: 5421 University Drive Suite 101, Coral Springs, FL 33067August 10, 2000 - November 3, 2004
EQUITABLE ADVISORS, LLC
May 24, 2000 - November 3, 2004
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/29/2024)
(10/22/2004)
(3/4/2005)
(2/3/2006)
(2/1/2012)
(4/3/2025)
(8/20/2019)
(8/20/2019)
(8/19/2019)
(8/21/2019)
Exams
FINRA
Current Firm
OSAIC WEALTH, INC.
CRD#: 23131 / SEC#: 801-54859, 8-40218
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC, INC. | SHAREHOLDER | |
| CORNICK, GREGORY ALLEN | CEO, PRESIDENT, DIRECTOR | 3132991 |
| FORD, ERINN JUNE | DIRECTOR | 2176816 |
| MIHAL, SHAWN MICHAEL | SVP, CHIEF COMPLIANCE OFFICER | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 797,559 |
| AUM (Assets Under Management) | $ 200,266,275,275 |
Disclosures
| Regulatory Event | 50 |
| Arbitration | 31 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2025 | ||
| 12/18/2024 | ||
| 01/26/2024 |
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.
Company Information
OSAIC WEALTH, INC.
CRD#: 23131Coral Springs, FL 33067TRUST BUT VERIFY
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