RR
Randolph C. Rodriguez
CL WEALTH MANAGEMENT LLC
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 4061386
RR
Professional summary
Randolph Cienega Rodriguez, who also goes by Randy Cienega Rodriguez, is a registered financial advisor currently at CL WEALTH MANAGEMENT LLC located in La Jolla, California and CABOT LODGE SECURITIES LLC located in La Jolla, California.
Randolph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Randolph has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Cienega 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.
d/b/a Saber Wealth Management, Investment Related, La Jolla, CA, financial advising, securities/insurance, Wealth Manager, 1/2020, 20 hours per month, 6 1/2 hours during trading hours, investment recommendations/insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Randolph Cienega 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
February 24, 2016 - Present
CL WEALTH MANAGEMENT LLC
Office #1: 4225 Express Square Suite 600, La Jolla, CA 92037RIA
CRD#: 134922
La Jolla, CA
Current
February 24, 2016 - Present
CABOT LODGE SECURITIES LLC
Office #1: 4225 Executive Square Suite 600, La Jolla, CA 92037BD
CRD#: 159712
La Jolla, CA
Past
February 6, 2015 - March 16, 2016
B.B. GRAHAM & COMPANY, INC.
RIA
CRD#: 41533
LA JOLLA, CA
Past
February 5, 2015 - March 16, 2016
B.B. GRAHAM & COMPANY, INC.
BD
CRD#: 41533
ORANGE, CA
Past
October 25, 2013 - January 12, 2015
AMERICAN ASSET ADVISORY, LLC
RIA
CRD#: 168444
LA JOLLA, CA
Past
September 7, 2011 - January 12, 2015
ACCELERATED CAPITAL GROUP
BD
CRD#: 41270
LA JOLLA, CA
Past
July 20, 2011 - September 6, 2011
JRL CAPITAL ADVISORS LLC
RIA
CRD#: 108162
SAN DIEGO, CA
Past
July 20, 2011 - September 6, 2011
JRL CAPITAL CORPORATION
BD
CRD#: 10225
IRVINE, CA
Past
February 4, 2009 - July 18, 2011
WFP SECURITIES
RIA
CRD#: 35098
SAN DIEGO, CA
Past
February 3, 2009 - July 18, 2011
WFP SECURITIES
BD
CRD#: 35098
SAN DIEGO, CA
Past
January 23, 2008 - September 17, 2008
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
SAN DIEGO, CA
Past
January 1, 2008 - September 17, 2008
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
SAN DIEGO, CA
Past
July 27, 2005 - October 25, 2007
NEW ENGLAND SECURITIES
BD
CRD#: 615
SAN DIEGO, CA
Past
October 17, 2002 - July 25, 2005
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
November 11, 1999 - September 4, 2002
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
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".
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)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
California(2/24/2016)
IAR
California(2/24/2016)
IAR
Illinois(8/23/2024)
RR
Illinois(10/29/2024)
RR
Texas(2/24/2016)
IAR
Texas(6/28/2023)
RR
Washington(2/4/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CW
CL WEALTH MANAGEMENT LLC
ALLIED BEACON WEALTH MANAGEMENT, LLC | WARNEFORD WEALTH MANAGEMENT, LLC | WADDELL WEALTH MANAGEMENT, LLC | URBAN WEALTH ADVISORS, LLC | TWEED FINANCIAL SERVICES, INC | STRATEGIC ADVANTAGE FINANCIAL | SCHULZ FINANCIAL MANAGEMENT | SAN MARINO INVESTMENT SERVICES | SABER WEALTH MANAGEMENT | RPG WEALTH MANAGEMENT, INC | RETIREMENT PLANNING STRATEGIES | PREMIER LEGACY WEALTH MANAGEMENT | PIVOTAL WEALTH MANAGEMENT | NEIGHBORHOOD FINANCIAL SOLUTIONS | MAROON WEALTH MANAGEMENT | LEADING EDGE FINANCIAL GROUP | INTEGRATED PLANNING ASSOCIATES, INC | HEART STRONG WEALTH PLANNING | HASZ FINANCIAL | GARDINER PRIVATE WEALTH MANAGEMENT | FUTURE MATTERS INC | FINGERLAKE SECURITIES, LLC | DOIRON WEALTH MANAGEMENT, LLC | DESTINY FINANCIAL SERVICES | CUPROSPER | CORNERSTONE WEALTH MANAGEMENT | CL WEALTH MANAGEMENT LLC | CENTURIAN WEALTH MANAGEMENT | CBS ADVISORS, LLC | C L WEALTH MANAGEMANT LLC | BRIDGEPORT INVESTMENTS,LLC | BESSETTE FINANCIAL SERVICES | BEACON FINANCIAL SERVICES
CRD#: 134922 / SEC#: 801-72701
RIA
Registered Investment Advisory firm - (10/4/2011 Approved)Arizona
Registered Investment Advisory firm - (12/31/2009 Terminated)Colorado
Registered Investment Advisory firm - (11/4/2011 Terminated)Connecticut
Registered Investment Advisory firm - (1/13/2012 Terminated)Florida
Registered Investment Advisory firm - (10/6/2011 Terminated)Georgia
Registered Investment Advisory firm - (10/12/2011 Terminated)Illinois
Registered Investment Advisory firm - (10/4/2011 Terminated)Iowa
Registered Investment Advisory firm - (10/6/2011 Terminated)Maryland
Registered Investment Advisory firm - (10/19/2011 Terminated)New Jersey
Registered Investment Advisory firm - (10/21/2011 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2010 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2009 Terminated)Virginia
Registered Investment Advisory firm - (10/17/2011 Terminated)West Virginia
Registered Investment Advisory firm - (10/6/2011 Terminated)Wisconsin
Registered Investment Advisory firm - (10/6/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
425 N. Martingale Rd. Suite 1220, Schaumburg, IL 60173
Mailing Address
Phone number
(212) 388-6200
Established
Firm type
Fiscal year end
# of Employees
42
SEC notice filing (49 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,073 |
| AUM (Assets Under Management) | $ 628,729,517 |
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.
