Luis Carlos Rodriguez
Professional Summary
Luis Carlos Rodriguez is a registered financial advisor currently at MORA CAPITAL SECURITIES LLC located in Miami, Florida. Luis is registered as a RR (Registered Representative) and started their career in finance in 2010. Luis has worked at 2 firms and has passed the SIE, Series 99 and Series 11 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Years of Experience
16 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
BOREAL CAPITAL SECURITIES LLC | MORA WM SECURITIES, LLC | MORA WM SECURITIES | MORA CAPITAL SECURITIES LLC
Contact Information
Main Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131Mailing Address
1450 Brickell Avenue, Suite 2900, Miami, FL 33131Phone Number
(305) 459-5400Established
Delaware since 06/17/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 11 — Assistant Representative-Order Processing Qualification Exam
Passed Sep 2010SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Luis Carlos Rodriguez's CRS (Customer Relationship Summary).
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