RR
Rodolfo Rodriguez
BALBOA WEALTH PARTNERS
La Jolla, CA 92037
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CRD#: 4784289
RR
Professional summary
Rodolfo Rodriguez is a registered financial advisor currently at BALBOA WEALTH PARTNERS, INC. located in La Jolla, California and WILLOW COVE INVESTMENT GROUP, INC. located in Winneconne, Wisconsin.
Rodolfo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Rodolfo has worked at 6 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Rodolfo Rodriguez is dually registered as an Investment Advisor Representative with Balboa Wealth Partners, Inc. ("Balboa" - since 05/2022) and as a Registered Representative with Willow Cove Investment Group, Inc. ("Willow Cove" - since 07/2020). Business is conducted from 7235 Calabria Court, #97, San Diego, CA 92122. Approximately 90% of Rodriguez's time is for services as a Registered Representative of Willow Cove and 10% as an Investment Advisor Representative of Balboa. Calidi Biotherapeutics Inc. Not Investment Related. 11011 North Torrey Pines Rd. Suite 200 La Jolla CA. 92037 Calidi Biotherapeutics is a company working on the development of treatments and therapies for cancer. A consultant to the Company. No other titles and no other relationship with Calidi. Start date is September 17, 2021. Will work 16 hours per month and none of time is during market hours. The duties include general corporate and business development in the biotherapeutics industry. Balboa Wealth Partners. This business is investment-related. 9404 Genesee, Suite 340, La Jolla, CA 92037. RIA Firm. Total hours per month will be 10-15 hours. Duties will be gathering and managing assets; third-party referrals.
CRS (Client Relationship Summary) - RIA
Click below to view Rodolfo Rodriguez'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
May 31, 2022 - Present
BALBOA WEALTH PARTNERS, INC.
Office #1: 9404 Genesee Suite 340, La Jolla, CA 92037RIA
CRD#: 282329
La Jolla, CA
Current
July 28, 2020 - Present
WILLOW COVE INVESTMENT GROUP, INC.
Office #1: 5887 T Bar Lane, Winneconne, WI 54986BD
CRD#: 107824
Winneconne, WI
Past
June 15, 2018 - January 24, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
BD
CRD#: 288898
San Diego, CA
Past
March 16, 2015 - June 15, 2018
SGMA CAPITAL MARKETS LIMITED
BD
CRD#: 135327
San Diego, CA
Past
January 17, 2011 - February 27, 2014
CAPPELLO CAPITAL CORP.
BD
CRD#: 30124
SANTA MONICA, CA
Past
June 10, 2004 - January 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SAN DIEGO, CA
Past
May 17, 2004 - January 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SAN DIEGO, CA
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".
BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL
CRD#: 282329 / SEC#: 801-107029
RIA
Registered Investment Advisory firm - (12/11/2015 Approved)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
RR
California(7/28/2020)
IAR
California(5/31/2022)
RR
Oregon(3/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BW
BALBOA WEALTH PARTNERS, INC.
BALBOA WEALTH PARTNERS, INC. | ZELKO WEALTH MANAGEMENT | WILLOW COVE | WEALTH MANAGEMENT SOLUTIONS | TOZAI WEALTH MANAGEMENT | SEASONS TWO VENTURES FUND | SB WEALTH STRATEGIES | SAM FINANCIAL GROUP | ROCKWOOD INVESTMENT COUNSEL | ROBINSON SHUMAKER WEALTH MANAGEMENT | NAUTICAL WEALTH MANAGEMENT | GATEWAY CAPITAL WEALTH | FSA INTEGRATED | ESSENTIAL RETURNS | BION CAPITAL PARTNERS | BION CAPITAL
CRD#: 282329 / SEC#: 801-107029
RIA
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Contact information
Main Address
6263 North Scottsdale Road Suite 265, Scottsdale, AZ 85250
Mailing Address
Phone number
(949) 445-1465
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,068 |
| AUM (Assets Under Management) | $ 804,833,455 |
Red Flags
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