RR
Roberto A. Rodriguez
PRINCIPAL SECURITIES
WINDERMERE, FL
Some features on this profile are disabled
CRD#: 4195742
RR
Professional summary
Roberto Antonio Rodriguez, who also goes by Bobby Rodriguez, Roberto A Rodriguez, Roberto Anton Rodriguez-gelpi, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Windermere, Florida.
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Roberto has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bobby Rodriguez | Roberto A Rodriguez | Roberto Anton Rodriguez-Gelpi
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.
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Antonio Rodriguez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roberto Antonio 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
April 18, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
WINDERMERE, FL
Current
April 4, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6700 Rockledge Dr Bldg A Ste 350, Bethesda, MD 20817RIA
BD
CRD#: 1137
Bethesda, MD
Past
October 20, 2022 - March 16, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
WINDERMERE, FL
Past
August 12, 2022 - March 15, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
ALTAMONTE SPRINGS, FL
Past
August 29, 2018 - May 24, 2022
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
August 29, 2018 - May 24, 2022
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
November 4, 2015 - June 8, 2018
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
TAMPA, FL
Past
July 29, 2015 - June 8, 2018
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
Past
August 20, 2014 - March 23, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
ALTAMONTE SPRINGS, FL
Past
August 14, 2014 - March 23, 2015
TD AMERITRADE, INC.
RIA
CRD#: 7870
ALTAMONTE SPRINGS, FL
Past
August 13, 2014 - March 23, 2015
TD AMERITRADE, INC.
BD
CRD#: 7870
ALTAMONTE SPRINGS, FL
Past
January 24, 2006 - April 30, 2014
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ORLANDO, FL
Past
January 23, 2006 - April 30, 2014
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
ORLANDO, FL
Past
February 10, 2003 - July 6, 2005
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
ORLANDO, FL
Past
September 28, 2000 - July 6, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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
Alabama(5/3/2023)
RR
Arizona(5/3/2023)
RR
Arkansas(5/3/2023)
RR
California(5/3/2023)
RR
Colorado(5/3/2023)
RR
Connecticut(5/3/2023)
RR
District of Columbia(5/3/2023)
RR
Florida(4/4/2023)
IAR
Florida(4/18/2023)
RR
Georgia(5/3/2023)
RR
Illinois(5/8/2023)
RR
Indiana(5/3/2023)
RR
Iowa(5/3/2023)
RR
Kansas(5/3/2023)
RR
Kentucky(5/3/2023)
RR
Louisiana(5/3/2023)
RR
Maryland(5/3/2023)
RR
Massachusetts(5/3/2023)
RR
Michigan(5/3/2023)
RR
Minnesota(5/3/2023)
RR
Mississippi(5/3/2023)
RR
Missouri(5/3/2023)
RR
Nebraska(5/3/2023)
RR
New Jersey(5/3/2023)
RR
New York(5/3/2023)
RR
North Carolina(5/3/2023)
RR
Ohio(5/3/2023)
RR
Oklahoma(5/3/2023)
RR
Oregon(5/3/2023)
RR
Pennsylvania(5/3/2023)
RR
South Carolina(5/3/2023)
RR
Tennessee(1/16/2024)
RR
Texas(5/3/2023)
RR
Utah(5/3/2023)
RR
Virginia(5/3/2023)
RR
Washington(5/3/2023)
RR
Wisconsin(5/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
