Jeffrey Rodriguez-aponte
SB ADVISORY
WESLEY CHAPEL, FL
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CRD#: 4638012
Professional summary
Jeffrey Rodriguez-aponte, AIF®, CFP®, CIMA®, who also goes by Jeffrey Rodriguez, is a registered financial advisor currently at SB ADVISORY, LLC located in Wesley Chapel, Florida and SAN BLAS SECURITIES LLC located in San Juan, .
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jeffrey has worked at 10 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jeffrey 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.
1) 360ONE LLC, PRESIDENT, CAROLINA, P, DBA FOR ALL BROKER DEALER BUSINESS CONDUCTED THROUGH SAN BLAS SECURITIES, I WILL DEVOTE 20-30 HOURS PER MONTH, AND 1-2 HOURS PER TRADING HOURS. 2) UNIVERSAL LIFE INSURANCE COMPANY OF PUERTO RICO; INVESTMENT RELATED; 4547 AVE ISLA VERDE VILLAS DEL MAR ESTE CM3 CAROLINA, PR 00979; LIFE/ HEALTH INSURANCE - SALE OF FIXED INSURANCE PRODUCTS; REGISTERED REPRESENTATIVE; START DATE 10/2019; 5 HOURS/ WEEK DEVOTED DURING SECURITIES TRADING HOURS. 3) TAMPASAOS, LLC - PRESIDENT OF THIS COMPANY THAT OWNS A HOTEL OF 11 ROOMS.
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Rodriguez-aponte'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®
CFP®
Start date: 2015
Experience
Current
October 14, 2024 - Present
SB ADVISORY, LLC
RIA
CRD#: 154680
WESLEY CHAPEL, FL
Current
October 14, 2024 - Present
SAN BLAS SECURITIES LLC
Office #1: Calle Violeta 1668 Urb. San Francisco, San Juan, PR 00979BD
CRD#: 290605
San Juan, PR
Past
July 22, 2022 - November 1, 2024
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
CAROLINA, PR
Past
September 25, 2019 - November 1, 2024
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
WELSEY CHAPEL, FL
Past
September 16, 2019 - July 22, 2022
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
WESLEY CHAPEL, FL
Past
April 14, 2012 - September 17, 2019
IFS SECURITIES
BD
CRD#: 40375
Carolina, PR
Past
April 12, 2012 - November 11, 2019
SB ADVISORY, LLC
RIA
CRD#: 154680
SAN JUAN, PR
Past
August 23, 2010 - April 13, 2012
FREEDOM ADVISORY
RIA
CRD#: 147546
GUAYNABO, PR
Past
October 16, 2006 - May 7, 2010
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
BD
CRD#: 13042
GUAYNABO, PR
Past
October 16, 2006 - May 7, 2010
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
GUAYNABO, PR
Past
June 15, 2005 - October 17, 2006
R-G INVESTMENTS CORPORATION
BD
CRD#: 113293
PONCE, PR
Past
January 6, 2004 - July 7, 2005
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
BD
CRD#: 13042
HATO REY, PR
Past
May 2, 2003 - July 7, 2005
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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".
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 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
IAR
Florida(11/19/2024)
RR
Florida(11/21/2024)
RR
New York(10/14/2024)
IAR
New York(11/25/2024)
RR
Puerto Rico(10/14/2024)
IAR
Puerto Rico(10/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SA
SB ADVISORY, LLC
ADVANCED ASSET SOLUTIONS, LLC | TREESE INVESTMENTS LLC | THE HENDERSON FINANCIAL GROUP & (HYACINTHHENDERSON.COM) | THE FINANCIAL ARCHITECTS (FINANCIALARCHITECTS-USA.COM) | SUMMIT ROCKWALL WEALTH MANAGERS | SMITH BERNSTEIN | SHEBAR FINANCIAL, LLC | SB ADVISORY, LLC | SANTA FE WEALTH ADVISORS | ROBERT BULLOCH WEALTH MANAGEMENT LLC (ROBERTBULLOCH.COM) | RNL FINANCIAL, LLC | RCA ADVISORY SERVICES, LLC | PRO FINANCIAL GROUP, LLC | PNW ADVISORY | NERGARD WEALTH MANAGEMENT LLC | MOHLMAN WEALTH MANAGEMENT | IFS ADVISORY, LLC | GREEN STREET WEALTH ADVISORY | GRABE FINANCIAL SERVICES INC | FERIS FINANCIAL, LLC | EM FINANCIAL SERVICES | DEEMER WEALTH MANAGEMENT, LLC | CORTO FINANCIAL GROUP, LLC | CLARITY CAPITAL MANAGEMENT CORP | BRYAN EDWARDS WEALTH MANAGEMENT | BRENNAN FRANCIS | BOWMAN WEALTH MANAGEMENT LLC | ARNETT FINANCIAL SERVICES GROUP, LLC | ARBOR WEALTH MANAGEMENT | ADVANCED FINANCIAL CONCEPTS, INC.
CRD#: 154680 / SEC#: 801-77380
RIA
Registered Investment Advisory firm - (12/4/2012 Approved)Arkansas
Registered Investment Advisory firm - (12/31/2012 Terminated)California
Registered Investment Advisory firm - (12/31/2012 Terminated)Colorado
Registered Investment Advisory firm - (1/3/2013 Terminated)Florida
Registered Investment Advisory firm - (12/31/2012 Terminated)Indiana
Registered Investment Advisory firm - (12/31/2012 Terminated)Maryland
Registered Investment Advisory firm - (12/31/2012 Terminated)Missouri
Registered Investment Advisory firm - (8/19/2014 Terminated)Nevada
Registered Investment Advisory firm - (12/31/2012 Terminated)New Jersey
Registered Investment Advisory firm - (1/2/2013 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2012 Terminated)North Carolina
Registered Investment Advisory firm - (12/31/2012 Terminated)Pennsylvania
Registered Investment Advisory firm - (12/31/2012 Terminated)Puerto Rico
Registered Investment Advisory firm - (12/31/2012 Terminated)Tennessee
Registered Investment Advisory firm - (12/31/2012 Terminated)Texas
Registered Investment Advisory firm - (12/3/2013 Terminated)Utah
Registered Investment Advisory firm - (12/31/2012 Terminated)Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)West Virginia
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3424 Peachtree Road Ne Suite 2200, Atlanta, GA 30326-1184
Mailing Address
Phone number
(404) 704-0406
Established
Firm type
Fiscal year end
# of Employees
29
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,540 |
| AUM (Assets Under Management) | $ 404,771,341 |
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.
