William N. Rodriguez

BRIGGS WEALTH MANAGEMENT

Glastonbury, CT 06033

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CRD#: 4770622

Professional summary

William Naldo Rodriguez, who also goes by William N Rodriguez, is a registered financial advisor currently at BRIGGS WEALTH MANAGEMENT, INC. located in Glastonbury, Connecticut.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. William has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

William N 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.

Willow Tax Prep LLC (Single-member LLC) Non-investment-related 28 Willow Lane Newington, CT 06111 Tax Preparation Services Managing Member, Tax Preparer 12/2023 5 hours/month 0 hours/month Prepare and electronically file individual and business tax returns

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Naldo Rodriguez's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 5, 2019 - Present

BRIGGS WEALTH MANAGEMENT, INC.

Office #1: 223 Addison Road Unit 304, Glastonbury, CT 06033

RIA

CRD#: 125518

Glastonbury, CT

Past

September 26, 2017 - August 9, 2019

LPL FINANCIAL LLC

CRD#: 6413

AVON, CT

Past

September 21, 2016 - December 7, 2016

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

EAST HARTFORD, CT

Past

September 21, 2016 - December 7, 2016

KEY INVESTMENT SERVICES LLC

CRD#: 136300

EAST HARTFORD, CT

Past

April 20, 2015 - September 21, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST HARTFORD, CT

Past

April 20, 2015 - September 21, 2016

LPL FINANCIAL LLC

CRD#: 6413

EAST HARTFORD, CT

Past

December 21, 2012 - April 22, 2015

MORGAN STANLEY

RIA

CRD#: 149777

WEST HARTFORD, CT

Past

December 21, 2012 - April 22, 2015

MORGAN STANLEY

CRD#: 149777

WEST HARTFORD, CT

Past

August 22, 2012 - November 12, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

HARTFORD, CT

Past

April 1, 2006 - November 9, 2006

METLIFE INVESTORS DISTRIBUTION COMPANY

CRD#: 107622

HARTFORD, CT

Past

June 21, 2005 - April 1, 2006

TOWER SQUARE SECURITIES, INC.

CRD#: 833

EL SEGUNDO, CA

Past

July 9, 2004 - November 3, 2004

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, 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".

BRIGGS WEALTH MANAGEMENT, INC.

BEACON FINANCIAL ADVISORY GROUP, LLC | BRIGGS WEALTH MANAGEMENT, LLC | BRIGGS WEALTH MANAGEMENT, INC.

CRD#: 125518 / SEC#: 801-66556

RIA

Registered Investment Advisory firm - (6/30/2006 Approved)

Connecticut

Registered Investment Advisory firm - (8/16/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(9/5/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/6/2012

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/12/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/21/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/8/2004

Investment Company Products/Variable Contracts Representative Examination

Current Firm

BRIGGS WEALTH MANAGEMENT, INC.

BEACON FINANCIAL ADVISORY GROUP, LLC | BRIGGS WEALTH MANAGEMENT, LLC | BRIGGS WEALTH MANAGEMENT, INC.

CRD#: 125518 / SEC#: 801-66556

RIA

Registered Investment Advisory firm - (6/30/2006 Approved)

Connecticut

Registered Investment Advisory firm - (8/16/2006 Terminated)

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Contact information

Main Address

221 Addison Road Unit101, Glastonbury, CT 06033

Mailing Address

Phone number

(860) 633-8988

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	696
AUM (Assets Under Management)	$ 258,725,939

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/21/2025	Cover Page	Report
09/17/2024	Cover Page	Report
09/06/2023	Cover Page	Report
09/01/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

William N. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William Naldo Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

METLIFE INVESTORS DISTRIBUTION COMPANY

TOWER SQUARE SECURITIES, INC.

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

BRIGGS WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/6/2012

Series 63

Date: 10/12/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/21/2012

Series 6

Date: 7/8/2004

Current Firm

BRIGGS WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BRIGGS WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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