Luis 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.
Luis A Rodriguez was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 2007. Luis had worked at 5 firms and has passed the Series 65, Series 63, Series 66, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 23, 2022 - July 10, 2024
FISHER INVESTMENTS
May 7, 2019 - July 19, 2019
DREXEL HAMILTON, LLC
June 24, 2010 - August 12, 2011
USAA FINANCIAL PLANNING SERVICES
June 24, 2010 - August 12, 2011
USAA FINANCIAL ADVISORS, INC.
September 10, 2007 - April 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2007 - April 20, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Series 79TO
Date: 5/4/2019
Investment Banking Registered Representative ExaminationCurrent Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 360,116 |
| AUM (Assets Under Management) | $ 298,729,428,900 |
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.
