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DR

Dax P. Rodriguez

303 SECURITIES, LP
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 5700954
DR

Professional summary

Dax Pan Rodriguez is a registered financial professional currently at 303 SECURITIES, LP located in Chicago, Illinois.

Dax is registered as a RR (Registered Representative) and started their career in finance in 2009. Dax has worked at 7 firms and has passed the Series 65, Series 63, Series 3, Series 7TO, Series 7 and Series 24 exams.

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dax Pan 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

April 6, 2026 - Present

303 SECURITIES, LP

Office #1: 401 W. Superior Street, Chicago, IL 60654
BD
CRD#: 288569
Chicago, IL
Past

September 23, 2022 - November 14, 2025

MERRIWETHER INVESTMENTS, INC.

RIA
CRD#: 310908
Chicago, IL
Past

March 1, 2022 - April 1, 2026

DNA SECURITIES LLC

BD
CRD#: 312799
Chicago, IL
Past

September 29, 2014 - September 22, 2016

SUMO CAPITAL, LLC

BD
CRD#: 146310
CHICAGO, IL
Past

March 14, 2013 - July 29, 2014

CUTLER GROUP, LLC

BD
CRD#: 31730
SAN FRANCISCO, CA
Past

July 7, 2010 - January 14, 2013

LIVEVOL SECURITIES, INC.

BD
CRD#: 23670
CHICAGO, IL
Past

October 15, 2009 - September 30, 2010

ICE EXECUTION SERVICES, LLC

BD
CRD#: 146496
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
IAR
Series 65
Date: 9/23/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/12/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 8/30/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 10/14/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/2022
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

3S
303 SECURITIES, LP
303 SECURITIES, LLC | ARB SECURITIES | 303 SECURITIES, LP

CRD#: 288569 / SEC#: , 8-69952

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
401 W. Superior Street, Chicago, IL 60654
Mailing Address
401 W. Superior Street, Chicago, IL 60654
Phone number
(312) 605-8012
Established
Delaware since 03/02/2017
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ARB TRADING GROUP LPSHAREHOLDER
ARB GP, LLCGENERAL PARTNER
BARCLAY, JAMES MPRINCIPAL & CRO4131615
CEBAN, VASILE NMNFINOP, PFO & POO6902974
THOMPSON, STANLEY JOHN IIIMANAGING PRINCIPAL & CEO/CCO2455853

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

303 SECURITIES, LP

CRD#: 288569Chicago, IL 60654

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