Max E. Rodriguez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Max Enrique Rodriguez, who also goes by Max Rodriguez, was a registered financial professional .
Max is a previously registered financial professional and started their career in finance in 2003. Max had worked at 9 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2025 - April 23, 2026
UMERGENCE LLC
January 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
Current Firm
UMERGENCE LLC
CRD#: 284368 / SEC#: , 8-69801
Contact information
FINRA licenses (53 States and Territories)
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.
