Samuel E. Rodriguez
ADVISOR RESOURCE COUNCIL
Allen, TX 75002
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CRD#: 4797665
Professional summary
Samuel Elliot Rodriguez, CFP®, who also goes by Sam Rodriguez, Samuel Elliott Rodriguez, is a registered financial advisor currently at ADVISOR RESOURCE COUNCIL located in Allen, Texas.
Samuel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Samuel has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam Rodriguez | Samuel Elliott 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. 12/12/2016 - Mission Financial Advisory Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/16/2016 - 120 Hours Per Month/30 Hours During Securities Trading. 2. 3/12/2018 - Level Four Insurance Services, Inc. - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 08/01/2017 - 8 Hours Per Month/0 Hours During Securities Trading. 3. 3/20/2018 - Foundation Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/01/2017 - 34 Hours Per Month/2 Hours During Securities Trading. 4. 10/2/2019 - Advisor Resource Council - DBA: (Hybrid) Foundation Wealth Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 01/01/2020 - 120 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Advisor Resource Council, an independent investment advisor firm. I started this business activity in Jan 2020. I expect to spend approximately 120 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Samuel Elliot 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®
CFP®
Start date: 2016
Experience
Current
July 26, 2018 - Present
ADVISOR RESOURCE COUNCIL
Office #1: 1373 N Greenville Ave, Allen, TX 75002RIA
CRD#: 164109
Allen, TX
Past
July 13, 2017 - September 14, 2018
LEVEL FOUR ADVISORY SERVICES
RIA
CRD#: 134086
ALLEN, TX
Past
September 16, 2016 - August 1, 2017
ADVISOR RESOURCE COUNCIL
RIA
CRD#: 164109
Allen, TX
Past
September 16, 2016 - November 25, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
MCKINNEY, TX
Past
October 1, 2012 - September 27, 2016
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
ALLEN, TX
Past
October 1, 2012 - September 27, 2016
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
ALLEN, TX
Past
April 29, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
ALLEN, TX
Past
April 29, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
ALLEN, TX
Past
August 11, 2004 - April 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PLANO, TX
Past
July 28, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 28, 2004 - April 21, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PLANO, TX
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".
AR
ADVISOR RESOURCE COUNCIL
360 WEALTH MANAGEMENT | WALTON & LOURCEY FINANCIAL STRATEGIES | VTI FINANCIAL | VALUES FIRST PLANNING | VALTRUM | TRUEWEALTH MANAGEMENT | THE TEXAS MONEY MANAGER | THE GATTS GROUP | THE AERO ADVISOR | TEXAS STATE FINANCIAL, INC. | TEAM 360 WEALTH MANAGEMENT | SIMMONS WEALTH MANAGEMENT | SILVERMAN LEGATE ADVISORY GROUP | SHELTON FINANCIAL GROUP | ROYAL STONE WEALTH MANAGEMENT | RLBROWN FINANCIAL | RIDGEMARK FINANCIAL | RDR WEALTH MANAGEMENT | PAX FINANCIAL GROUP, LLC | PARSONS WEALTH MANAGEMENT | ORION WEALTH MANAGEMENT | NAPA VALLEY FINANCIAL | MUSSO RETIREMENT ADVISORS | MISSION FINANCIAL ADVISORY SERVICES | MILLS & KERNAN WEALTH MANAGEMENT | MERIT WEALTH ADVISORS, INC. | MERIT WEALTH ADVISORS | MERGENT GROUP | MCLEMORE FINANCIAL GROUP | MAVERICK WEALTH MANAGEMENT | MAVEN WEALTH CONSULTING, LLC | LIGHTFORCE FINANCIAL | LEWIN WEALTH MANAGEMENT | LEMOINE WEALTH MANAGEMENT | KALIVER WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JKL INVESTMENT MANAGEMENT | JDR WEALTH MANAGEMENT | JACKSON WEALTH MANAGEMENT | INTEGRATED WEALTH STRATEGIES | INDEPENDENT FINANCIAL STRATEGIES | HOPPER FINANCIAL SERVICES | GENERATIONS FINANCIAL MANAGEMENT | FURNEY FINANCIAL | FRONT LINE ADVISOR GROUP | FOUNDATION WEALTH PARTNERS | FAUBOURG PRIVATE WEALTH | ENCORE WEALTH MANAGEMENT | DON HUBBARD INVESTMENT SERVICES | DAVID H. YOUNG & ASSOCIATES | DARGATZ & COMPANY | DANSBY WEALTH MANAGEMENT | DALLAS FINANCIAL PLANNER | CSB WEALTH MANAGEMENT | COUNCIL FAMILY OFFICE | COJO BAY ADVISORS | COJO BAY ADVIORS, LLC | CASTRINOS FINANCIAL | CARDINAL WEALTH ADVISORS | BIGG FINANCIAL | BENGE FINANCIAL GROUP | BARFIELD WEALTH MANAGEMENT | AZAELA WEALTH PARTNERS | ASHLEY HODGE | ARK CAPITAL | ARC RETIREMENT CONSULTANTS | ARC ASSET MANAGEMENT | AMPLIO WEALTH MANAGEMENT | AIQ ASSET MANAGEMENT | ADVISOR RESOURCE COUNCIL | ABACUS WEALTH BUILDERS | 360 WEALTH PLANNERS LLC | 360 WEALTH PARTNERS | 360 WEALTH MANAGEMENT, LLC
CRD#: 164109 / SEC#: 801-76667
RIA
Registered Investment Advisory firm - (6/1/2012 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.Highlighted states indicate IAR registrations
IAR
Texas(7/26/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AR
ADVISOR RESOURCE COUNCIL
360 WEALTH MANAGEMENT | WALTON & LOURCEY FINANCIAL STRATEGIES | VTI FINANCIAL | VALUES FIRST PLANNING | VALTRUM | TRUEWEALTH MANAGEMENT | THE TEXAS MONEY MANAGER | THE GATTS GROUP | THE AERO ADVISOR | TEXAS STATE FINANCIAL, INC. | TEAM 360 WEALTH MANAGEMENT | SIMMONS WEALTH MANAGEMENT | SILVERMAN LEGATE ADVISORY GROUP | SHELTON FINANCIAL GROUP | ROYAL STONE WEALTH MANAGEMENT | RLBROWN FINANCIAL | RIDGEMARK FINANCIAL | RDR WEALTH MANAGEMENT | PAX FINANCIAL GROUP, LLC | PARSONS WEALTH MANAGEMENT | ORION WEALTH MANAGEMENT | NAPA VALLEY FINANCIAL | MUSSO RETIREMENT ADVISORS | MISSION FINANCIAL ADVISORY SERVICES | MILLS & KERNAN WEALTH MANAGEMENT | MERIT WEALTH ADVISORS, INC. | MERIT WEALTH ADVISORS | MERGENT GROUP | MCLEMORE FINANCIAL GROUP | MAVERICK WEALTH MANAGEMENT | MAVEN WEALTH CONSULTING, LLC | LIGHTFORCE FINANCIAL | LEWIN WEALTH MANAGEMENT | LEMOINE WEALTH MANAGEMENT | KALIVER WEALTH MANAGEMENT | JOHN BAILEY FINANCIAL | JKL INVESTMENT MANAGEMENT | JDR WEALTH MANAGEMENT | JACKSON WEALTH MANAGEMENT | INTEGRATED WEALTH STRATEGIES | INDEPENDENT FINANCIAL STRATEGIES | HOPPER FINANCIAL SERVICES | GENERATIONS FINANCIAL MANAGEMENT | FURNEY FINANCIAL | FRONT LINE ADVISOR GROUP | FOUNDATION WEALTH PARTNERS | FAUBOURG PRIVATE WEALTH | ENCORE WEALTH MANAGEMENT | DON HUBBARD INVESTMENT SERVICES | DAVID H. YOUNG & ASSOCIATES | DARGATZ & COMPANY | DANSBY WEALTH MANAGEMENT | DALLAS FINANCIAL PLANNER | CSB WEALTH MANAGEMENT | COUNCIL FAMILY OFFICE | COJO BAY ADVISORS | COJO BAY ADVIORS, LLC | CASTRINOS FINANCIAL | CARDINAL WEALTH ADVISORS | BIGG FINANCIAL | BENGE FINANCIAL GROUP | BARFIELD WEALTH MANAGEMENT | AZAELA WEALTH PARTNERS | ASHLEY HODGE | ARK CAPITAL | ARC RETIREMENT CONSULTANTS | ARC ASSET MANAGEMENT | AMPLIO WEALTH MANAGEMENT | AIQ ASSET MANAGEMENT | ADVISOR RESOURCE COUNCIL | ABACUS WEALTH BUILDERS | 360 WEALTH PLANNERS LLC | 360 WEALTH PARTNERS | 360 WEALTH MANAGEMENT, LLC
CRD#: 164109 / SEC#: 801-76667
RIA
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Contact information
Main Address
15110 Dallas Parkway Suite 500, Dallas, TX 75248
Mailing Address
Phone number
(972) 421-1360
Established
Firm type
Fiscal year end
# of Employees
123
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,622 |
| AUM (Assets Under Management) | $ 3,015,318,532 |
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.
