Max E. Rodriguez
Professional summary
Max Enrique Rodriguez, who also goes by Max Rodriguez, is a registered financial professional currently at UMERGENCE LLC located in Plantsville, Connecticut.
Max is registered as a RR (Registered Representative) and started their career in finance in 2003. Max has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Max Enrique Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 2, 2025 - Present
UMERGENCE LLC
Office #1: 1006 S. Main St., Plantsville, CT 06479January 12, 2024 - May 1, 2025
INVICTA CAPITAL LLC
December 3, 2018 - July 19, 2022
BARINGS SECURITIES LLC
October 14, 2015 - November 23, 2018
TOCQUEVILLE SECURITIES L.P.
March 21, 2014 - August 5, 2015
DISTRIBUTION SERVICES, LLC
January 3, 2011 - January 21, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
December 17, 2007 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
July 25, 2005 - June 21, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
February 23, 2004 - March 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 17, 2003 - March 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
FINRA
Current Firm
UMERGENCE LLC
CRD#: 284368 / SEC#: , 8-69801
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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