RR
Ryan A. Rodrigues
FIDELITY BROKERAGE SERVICES LLC
San Francisco, CA 94111
Some features on this profile are disabled
CRD#: 4629658
RR
Professional summary
Ryan Andre Rodrigues, who also goes by Ryan Andre Rodrigues, Ryan Andre Rodriguez, is a registered financial professional currently at FIDELITY BROKERAGE SERVICES LLC located in San Francisco, California and NATIONAL FINANCIAL SERVICES LLC located in San Francisco, California.
Ryan is registered as a RR (Registered Representative) and started their career in finance in 2003. Ryan has worked at 5 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ryan Andre Rodrigues | Ryan Andre 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Ryan Andre Rodrigues'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
December 23, 2015 - Present
FIDELITY BROKERAGE SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111BD
CRD#: 7784
San Francisco, CA
Current
May 8, 2019 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: 100 California St Suite 1200, San Francisco, CA 94111BD
CRD#: 13041
San Francisco, CA
Past
February 3, 2005 - December 3, 2015
SCOTTRADE, INC.
BD
CRD#: 8206
UNION CITY, CA
Past
July 9, 2003 - August 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
CAMPBELL, CA
Past
June 16, 2003 - August 21, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 16, 2003 - August 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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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
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Alabama(2/16/2016)
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Alaska(2/16/2016)
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Arizona(2/16/2016)
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Arkansas(2/16/2016)
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California(12/23/2015)
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Colorado(2/16/2016)
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Connecticut(2/16/2016)
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Delaware(2/16/2016)
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District of Columbia(2/16/2016)
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Florida(2/16/2016)
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Georgia(2/16/2016)
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Hawaii(2/16/2016)
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Idaho(2/16/2016)
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Illinois(2/16/2016)
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Indiana(2/16/2016)
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Iowa(2/16/2016)
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Kansas(2/16/2016)
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Kentucky(2/16/2016)
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Louisiana(2/16/2016)
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Maine(2/16/2016)
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Maryland(2/16/2016)
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Massachusetts(2/16/2016)
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Michigan(2/16/2016)
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Minnesota(2/16/2016)
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Mississippi(2/16/2016)
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Missouri(2/16/2016)
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Montana(2/16/2016)
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Nebraska(2/16/2016)
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Nevada(2/16/2016)
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New Hampshire(2/16/2016)
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New Jersey(2/16/2016)
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New Mexico(2/16/2016)
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New York(2/16/2016)
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North Carolina(2/17/2016)
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North Dakota(2/16/2016)
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Ohio(2/17/2016)
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Oklahoma(2/16/2016)
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Oregon(2/16/2016)
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Pennsylvania(2/16/2016)
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Puerto Rico(2/16/2016)
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Rhode Island(2/16/2016)
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South Carolina(2/16/2016)
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South Dakota(2/16/2016)
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Tennessee(2/16/2016)
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Texas(2/16/2016)
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Utah(2/16/2016)
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Vermont(2/16/2016)
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Virgin Islands(2/16/2016)
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Virginia(2/16/2016)
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Washington(2/16/2016)
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West Virginia(2/16/2016)
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Wisconsin(2/16/2016)
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Wyoming(2/16/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
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Cboe C2 Exchange, Inc.
SRO Registrations
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Cboe Exchange, Inc.
SRO Registrations
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FINRA
SRO Registrations
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NYSE American LLC
SRO Registrations
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NYSE Arca, Inc.
SRO Registrations
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Nasdaq BX, Inc.
SRO Registrations
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Nasdaq ISE, LLC
SRO Registrations
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Nasdaq PHLX LLC
SRO Registrations
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Nasdaq Stock Market
SRO Registrations
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New York Stock Exchange
Current Firm
NF
NATIONAL FINANCIAL SERVICES LLC
NATIONAL FINANCIAL SERVICES CORPORATION | NATIONAL FINANCIAL SERVICES, LLC | NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
245 Summer Street Mail Zone Z2h, Boston, MA 02210
Mailing Address
Two Destiny Way Mail Zone: Wg3d, Westlake, TX 76262
Phone number
(617) 563-7000
Established
Delaware since 06/08/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,100
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
