Lee D. Cardona Rodriguez

X-SQUARE CAPITAL

Guaynabo, PR 00968

Some features on this profile are disabled

CRD#: 5526032

Professional summary

Lee Daniel Cardona Rodriguez is a registered financial advisor currently at X-SQUARE CAPITAL located in Guaynabo, and ALPS DISTRIBUTORS, INC. located in Guaynabo, .

Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Lee has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Lee Daniel Cardona Rodriguez's CRS (Customer Relationship Summary).

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

March 14, 2019 - Present

X-SQUARE CAPITAL

Office #1: Centro Internacional De Mercadeo Ii 90 Carr 165, Suite 803, Guaynabo, PR 00968

RIA

CRD#: 167237

Guaynabo, PR

Current

June 28, 2019 - Present

ALPS DISTRIBUTORS, INC.

Office #1: Centro Internacional De Mercadeo Ii 90 Carr 165, Suite 803, Guaynabo, PR 00968

CRD#: 16853

Guaynabo, PR

Past

August 16, 2011 - March 5, 2019

POPULAR SECURITIES, LLC

RIA

CRD#: 8096

SAN JUAN, PR

Past

August 16, 2011 - March 5, 2019

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Past

May 5, 2009 - August 18, 2011

RD CAPITAL GROUP, INC.

CRD#: 37470

SAN JUAN, PR

Past

June 13, 2008 - March 9, 2009

ORIENTAL FINANCIAL SERVICES LLC

CRD#: 29753

SAN JUAN, PR

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".

X-SQUARE CAPITAL

X-SQUARE CAPITAL | X-SQUARE CAPITAL, LLC | X-SQUARE CAPITAL, INC.

CRD#: 167237 / SEC#: 801-88171

RIA

Registered Investment Advisory firm - (4/6/2015 Approved)

Puerto Rico

Registered Investment Advisory firm - (4/10/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Puerto Rico
(3/14/2019)

Puerto Rico
(8/27/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/25/2010

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: 6/12/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

X-SQUARE CAPITAL

X-SQUARE CAPITAL | X-SQUARE CAPITAL, LLC | X-SQUARE CAPITAL, INC.

CRD#: 167237 / SEC#: 801-88171

RIA

Registered Investment Advisory firm - (4/6/2015 Approved)

Puerto Rico

Registered Investment Advisory firm - (4/10/2015 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Centro Internacional De Mercadeo Ii 90 Carr 165, Suite 803, Guaynabo, PR 00968

Mailing Address

Phone number

(787) 282-1621

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

2025-03 - X-SQUARE CAPITAL - FORM ADV PART 2A VFINAL (3/31/2025)

Regulatory assets under management

Total Number of Accounts	263
AUM (Assets Under Management)	$ 616,864,678

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.

Similar Advisors

Kenneth Dew

ALLSTATE FINANCIAL SERVICES, LLC

LINCOLN, NE

Isaiah Symeonides

WELLS FARGO CLEARING SERVICES, LLC

Richmond, VA

Peter Garelick

GLOBAL FINANCIAL ADVISORY SERVICES, INC.

IAR

Valencia, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lee D. Cardona Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lee Daniel Cardona Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

POPULAR SECURITIES, LLC

POPULAR SECURITIES, LLC

RD CAPITAL GROUP, INC.

ORIENTAL FINANCIAL SERVICES LLC

Primary Firm SEC Registration

X-SQUARE CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/12/2008

FINRA

Current Firm

X-SQUARE CAPITAL

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

X-SQUARE CAPITAL

TRUST BUT VERIFY

Similar Advisors