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LR

Luis M. Rodriguez

PRIVATE PORTFOLIO
La Jolla, CA 92037
Some features on this profile are disabled
CRD#: 4182541
LR

Professional summary

Luis Mario Rodriguez is a registered financial professional currently at PRIVATE PORTFOLIO, INC. located in La Jolla, California.

Luis is registered as a RR (Registered Representative) and started their career in finance in 2000. Luis has worked at 1 firm and has passed the Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luis Mario Rodriguez's CRS (Customer Relationship Summary).
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

March 19, 2004 - Present

PRIVATE PORTFOLIO, INC.

Office #1: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037
RIA
BD
CRD#: 36644
La Jolla, CA
Past

May 9, 2000 - August 20, 2001

PRIVATE PORTFOLIO, INC.

BD
CRD#: 36644
LA JOLLA, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 12/11/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/25/2018
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PP
PRIVATE PORTFOLIO, INC.
PRIVATE BROKERAGE | PRIVATE PORTFOLIO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO

CRD#: 36644 / SEC#: 801-69346, 8-47421

RIA
Registered Investment Advisory firm - SEC (8/27/2012 Terminated)
Arizona
Registered Investment Advisory firm - SEC (11/14/2022 Terminated)
California
Registered Investment Advisory firm - SEC (4/3/2012 Approved)
Florida
Registered Investment Advisory firm - SEC (6/14/2012 Approved)
Pennsylvania
Registered Investment Advisory firm - SEC (12/9/2014 Terminated)
Texas
Registered Investment Advisory firm - SEC (7/7/2014 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037
Mailing Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535
Phone number
(858) 551-2071
Established
California since 05/18/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
20

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
BARBA, DANIELVICE PRESIDENT, SOLE OWNER1348124
TOVAR, EDUARDO P JRPRESIDENT, CHIEF COMPLIANCE OFFICER2349510
VONBERTRAB, HERMANN SCHOTTVICE PRESIDENT

Regulatory assets under management

Total Number of Accounts93
AUM (Assets Under Management)$ 91,500,000

Disclosures

Regulatory Event1

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

PRIVATE PORTFOLIO, INC.

CRD#: 36644La Jolla, CA 92037

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