Robert L. 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.
Robert Louis Rodriguez was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1972. Robert had worked at 3 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 1991 - September 6, 2012
FPA FUND DISTRIBUTORS, INC.
May 1, 1984 - December 16, 1991
ANGELES SECURITIES CORPORATION
May 3, 1972 - August 10, 1984
TRANSAMERICA FINANCIAL ADVISORS, INC.
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 1
Date: 4/27/1972
Registered Representative ExaminationCurrent Firm
FPA FUND DISTRIBUTORS, INC.
CRD#: 28575 / SEC#: , 8-43830
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
