John A. 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.
John A Rodriguez was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2004. John had worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2010 - September 29, 2016
SEQUOIA FINANCIAL GROUP, L.L.C.
February 18, 2010 - December 15, 2015
VALMARK SECURITIES, INC.
August 27, 2004 - May 10, 2005
MORGAN STANLEY DW INC.
July 2, 2004 - May 10, 2005
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
SEQUOIA FINANCIAL GROUP, L.L.C.
CRD#: 117756 / SEC#: 801-61089
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
SEQUOIA FINANCIAL GROUP, L.L.C.
CRD#: 117756 / SEC#: 801-61089
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 28,338 |
| AUM (Assets Under Management) | $ 23,033,619,111 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/18/2025 | ||
| 11/19/2024 | ||
| 01/10/2024 |
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.
