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GR

Guillermo Roditi Dominguez

NEW RIVER INVESTMENTS
Los Angeles, CA
Some features on this profile are disabled
CRD#: 5094605
GR

Professional summary


Guillermo Roditi Dominguez, who also goes by Guillermo Roditi, Will Roditi, Guillermo Roditidominguez, is a registered financial advisor currently at NEW RIVER INVESTMENTS located in Los Angeles, California.

Guillermo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Guillermo has worked at 2 firms and has passed the Series 65, Series 66, Series 3 and Series 7 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
Yes

Aliases


Guillermo Roditi | Will Roditi | Guillermo Roditidominguez

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.
I am a Registered Investment Advisor Representative at New River Investments Inc. I receive no commissions from this business.

Blog Corner


CRS (Client Relationship Summary) - RIA


Click below to view Guillermo Roditi Dominguez'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®
None

Experience


Current

May 26, 2011 - Present

NEW RIVER INVESTMENTS

RIA
CRD#: 157173
Los Angeles, CA
Past

March 9, 2006 - September 9, 2010

CANTELLA & CO., INC.

BD
CRD#: 13905
MALDEN, MA

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
California
(8/18/2014)
IAR
Florida
(5/26/2011)
IAR
Louisiana
(6/7/2021)
IAR
Texas
(4/23/2018)

Exams


State Security Law Exam
IAR
Series 65
Date: 4/21/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/16/2012
National Commodity Futures Examination
General Industry/Product Exam

Current Firm


NR
NEW RIVER INVESTMENTS
NEW RIVER INVESTMENTS | RODITI, RODITI & DESROCHER LLC | NEW RIVER INVESTMENTS LLC | NEW RIVER INVESTMENTS INC.

CRD#: 157173 / SEC#: 801-72261

RIA
Registered Investment Advisory firm - (6/21/2011 Terminated)
California
Registered Investment Advisory firm - (8/18/2014 Approved)
Florida
Registered Investment Advisory firm - (6/20/2011 Approved)
Georgia
Registered Investment Advisory firm - (11/13/2012 Approved)
Louisiana
Registered Investment Advisory firm - (6/7/2021 Approved)
New York
Registered Investment Advisory firm - (10/21/2021 Terminated)
North Carolina
Registered Investment Advisory firm - (10/8/2015 Approved)
Texas
Registered Investment Advisory firm - (4/23/2018 Conditional Restricted)
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Contact information


Main Address
Los Angeles, CA
Mailing Address
Phone number
(954) 333-8803
Established
Firm type
Fiscal year end
# of Employees
3

Documents


Latest Form ADV

Regulatory assets under management


Total Number of Accounts85
AUM (Assets Under Management)$ 46,032,657

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.

Company Information


NEW RIVER INVESTMENTS

CRD#: 157173Los Angeles, CA

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