Raymond A. Rodriguez

PRIVATE GROUP WEALTH MANAGEMENT

Fort Lauderdale, FL

Some features on this profile are disabled

CRD#: 402397

Professional summary

Raymond Anthony Rodriguez is a registered financial advisor currently at PRIVATE GROUP WEALTH MANAGEMENT, LLC located in Fort Lauderdale, Florida.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. Raymond has worked at 13 firms and has passed the Series 63, Series 65, Series 3, Series 000, Series 1, Series 12, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Private Group Wealth Management, LLC 150 East Main Street Suite 206 Fredericksburg, Texas 78624 Registered Investment Advisor Partner and CCO March, 2005 Hours per month devoted: 30 Investment Advisor and CCO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Anthony 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®

None

Experience

Current

August 31, 2005 - Present

PRIVATE GROUP WEALTH MANAGEMENT, LLC

RIA

CRD#: 118231

Fort Lauderdale, FL

Past

March 1, 2017 - November 30, 2022

ARAGON VALUE PARTNERS, LLC

RIA

CRD#: 286307

Fort Lauderdale, FL

Past

July 1, 2003 - April 28, 2005

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CORPUS CHRISTI, TX

Past

July 1, 2003 - April 28, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 2, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

CORPUS CHRISTI, TX

Past

June 2, 2000 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

July 22, 1997 - May 26, 2000

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

January 21, 1994 - August 4, 1997

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

May 10, 1991 - January 10, 1994

KERCHEVILLE & COMPANY, INC.

CRD#: 15871

SAN ANTONIO, TX

Past

May 5, 1989 - May 13, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

July 14, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

January 18, 1978 - July 29, 1978

LOEB PARTNERS

CRD#: 7534

Past

May 5, 1977 - January 18, 1978

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

CRD#: 7394

Past

March 16, 1977 - May 5, 1977

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

CRD#: 412

Past

April 16, 1974 - March 18, 1977

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

April 10, 1974 - April 12, 1989

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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.

Highlighted states indicate IAR registrations

IAR

Texas
(9/2/2005)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/22/1994

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/11/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 8/11/2000

National Commodity Futures Examination

General Industry/Product Exam

Series 000

Date: 4/10/1974

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 4/10/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 12

Date: 11/22/1983

NYSE Branch Manager Examination

Principal/Supervisory Exam

Series 53

Date: 2/20/1981

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/1/1980

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 7/25/1980

Registered Options Principal Examination

Current Firm

PRIVATE GROUP WEALTH MANAGEMENT, LLC

P.L. MOORE INVESTMENT ADVISORS, LLC | PRIVATE GROUP WEALTH MANAGEMENT, LLC

CRD#: 118231 / SEC#:

Alaska

Registered Investment Advisory firm - (12/1/2006 Terminated)

Florida

Registered Investment Advisory firm - (11/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (12/1/2006 Terminated)

Texas

Registered Investment Advisory firm - (1/2/2002 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Fredericksburg, TX

Mailing Address

Phone number

(361) 442-5105

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	61
AUM (Assets Under Management)	$ 30,000,000

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Raymond A. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Anthony Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARAGON VALUE PARTNERS, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

RAYMOND JAMES & ASSOCIATES, INC.

PRINCIPAL FINANCIAL SECURITIES,INC.

KERCHEVILLE & COMPANY, INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

LOEB PARTNERS

HORNBLOWER, WEEKS, NOYES & TRASK INCORPORATED

HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 11/22/1994

Series 65

Date: 10/11/1994

Series 3

Date: 8/11/2000

Series 000

Date: 4/10/1974

Series 1

Date: 4/10/1974

Series 12

Date: 11/22/1983

Series 53

Date: 2/20/1981

Series 24

Date: 8/1/1980

Series 4

Date: 7/25/1980

Current Firm

PRIVATE GROUP WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRIVATE GROUP WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors