Juan Rodriguez

FUTU CLEARING

Dallas, TX 75251

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CRD#: 5257067

Professional summary

Juan Rodriguez is a registered financial professional currently at FUTU CLEARING INC located in Dallas, Texas.

Juan is registered as a RR (Registered Representative) and started their career in finance in 2015. Juan has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 99 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Juan 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®

None

Experience

Current

January 6, 2022 - Present

FUTU CLEARING INC

Office #1: 12750 Merit Drive Suite 475, Dallas, TX 75251

CRD#: 298769

Dallas, TX

Past

January 20, 2023 - February 8, 2024

FUTU WEALTH ADVISORS, INC.

RIA

CRD#: 310790

Dallas, TX

Past

February 5, 2021 - December 23, 2021

LEVEL FOUR FINANCIAL, LLC

CRD#: 25700

Dallas, TX

Past

October 30, 2020 - December 23, 2021

LEVEL FOUR FINANCIAL, LLC

RIA

CRD#: 25700

Dallas, TX

Past

October 30, 2020 - December 23, 2021

LEVEL FOUR ADVISORY SERVICES

RIA

CRD#: 134086

DALLAS, TX

Past

July 8, 2019 - November 6, 2020

LPL FINANCIAL LLC

CRD#: 6413

DALLAS, TX

Past

August 20, 2018 - February 12, 2019

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

Plano, TX

Past

May 12, 2017 - February 12, 2019

CAPITAL ONE INVESTING, LLC

CRD#: 45744

Plano, TX

Past

October 30, 2015 - May 8, 2017

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Texas
(1/6/2022)

Exams

State Security Law Exam

IAR

Series 66

Date: 8/17/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/2017

General Securities Representative Examination

General Industry/Product Exam

Series 99

Date: 10/30/2015

Operations Professional Examination

SRO Registrations

FINRA

Current Firm

FUTU CLEARING INC

CRD#: 298769 / SEC#: , 8-70215

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Mailing Address

12750 Merit Drive Suite 475, Dallas, TX 75251

Phone number

(972) 665-6903

Established

Delaware since 08/13/2018

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
FUTU US INC	OWNER
DU, SHUANG	HEAD OF US OPERATIONS	5005050
KELLY, PATRICK JAMES	CHIEF EXECUTIVE OFFICER	3126322
SHARMA, VICKRAMJIT	CHIEF LEGAL OFFICER	7186502
SHEN, QIUFANG	HEAD OF FINANCE	3158926
STIFELMAN, GLEN ROBERT	CHIEF COMPLIANCE OFFICER	1699013

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

Juan Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

FUTU WEALTH ADVISORS, INC.

LEVEL FOUR FINANCIAL, LLC

LEVEL FOUR FINANCIAL, LLC

LEVEL FOUR ADVISORY SERVICES

LPL FINANCIAL LLC

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

APEX CLEARING CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2018

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2017

Series 99

Date: 10/30/2015

FINRA

Current Firm

FUTU CLEARING INC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FUTU CLEARING INC

TRUST BUT VERIFY

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