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AR

Adrian Rodrigues

Some features on this profile are disabled
CRD#: 5547305
AR

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.

Adrian Rodrigues was a registered financial professional .

Adrian is a previously registered financial professional and started their career in finance in 2010. Adrian had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
1. PROVENANCE CAPITAL GROUP, AN INVESTMENT RELATED BUSINESS, NATURE OF BUSINESS: ADVISORY SERVICES, LOCATED IN NORTHBROOK, ILLINOIS 60062. CEO, STARTED JANUARY 16, 2020. APPLICANT SPENDS 40 HOURS PER MONTH AT THIS ACTIVITY, 20 HOURS DURING SECURITIES TRADING HOURS. PERFOMING CONSULTING SERVICES. 2. RODRIGUES PUBLIC RELATIONS, A NON-INVESTMENT RELATED BUSINESS LOCATED IN BERKELEY CALIFORNIA, 94705. APPLICANT SERVES AS AN LLC MEMBER FOR PR BUSINESS, STARTED 3/5/2018, MEMBER, SPENDING 1HOURS PER MONTH OUTSIDE OF SECURITIES TRADING HOURS. 3. 3046 TELEGRAPH AVE HOA, A NON-INVESTMENT RELATED BUSINESS, 3046 TELEGRAPH AVE, BERKELEY CA 94705, TREASUER, STARTED 1/1/2022, SPENDING 2 HOURS A MONTH OUTSIDE OF SECURITIES TRADING HOURS, COLLECT HOA PAYMENTS, BUDGETING.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 1, 2022 - April 5, 2024

PROVENANCE CAPITAL SERVICES LLC

BD
CRD#: 315446
NORTHBROOK, IL
Past

February 12, 2021 - March 30, 2022

PROVENANCE CAPITAL GROUP

RIA
CRD#: 310548
San Francisco, CA
Past

November 3, 2020 - February 2, 2022

GROWTH CAPITAL SERVICES, INC.

BD
CRD#: 124658
CLAYMONT, DE
Past

October 12, 2020 - February 2, 2022

GROWTH CAPITAL SERVICES, INC.

RIA
CRD#: 124658
Berkeley, CA
Past

July 15, 2013 - June 24, 2016

MORGAN STANLEY DISTRIBUTION, INC.

BD
CRD#: 30344
NEW YORK, NY
Past

August 13, 2010 - July 25, 2013

MORGAN STANLEY

BD
CRD#: 149777
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/22/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/24/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/2010
General Securities Representative Examination

Current Firm

PC
PROVENANCE CAPITAL SERVICES LLC
PROVENANCE CAPITAL SERVICES LLC

CRD#: 315446 / SEC#: , 8-70780

BD
Terminated by SEC on 08/12/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/09/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
PROVENANCE CAPITAL GROUPSOLE MEMBER310548
FIALA, ANGELA MARIAFINOP, POO, PFO5163386
PINES, JAMESPRESIDENT AND CHIEF COMPLIANCE OFFICER7292241

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

PROVENANCE CAPITAL SERVICES LLC

CRD#: 315446

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