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DR

Dax P. Rodriguez

DNA SECURITIES LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5700954
DR

Professional summary

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

Dax is registered as a RR (Registered Representative) and started their career in finance in 2009. Dax has worked at 6 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).
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 1, 2022 - Present

DNA SECURITIES LLC

Office #1: 141 W. Jackson, Suite 1710a, Chicago, IL 60604Office #2: 141 W. Jackson Suite 1710a, Chicago, IL 60604
BD
CRD#: 312799
Chicago, IL
Past

September 23, 2022 - November 14, 2025

MERRIWETHER INVESTMENTS, INC.

RIA
CRD#: 310908
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.

RR
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

RR
Florida
(2/2/2023)
RR
Illinois
(6/3/2022)
RR
Texas
(2/2/2023)

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

DS
DNA SECURITIES LLC
DNA SECURITIES LLC | SARNA FINANCE LLC

CRD#: 312799 / SEC#: , 8-70670

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

Main Address
141 W. Jackson Suite 1710a, Chicago, IL 60604
Mailing Address
115 W. Thomas Street, Arlington Heights, IL 60004
Phone number
(847) 363-1374
Established
Delaware since 01/22/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STRANDS GROUP USA INC.SOLE MEMBER
CERNY, PATRICIA LCHIEF COMPLIANCE OFFICER4814964
RODRIGUEZ, DAX PANCHIEF COMMERCIAL OFFICER5700954
WETZEL, RONALD LEEFINOP & CEO4671726
WETZEL, RONALD LEEREGISTERED OPTIONS PRINCIPAL4671726

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

DNA SECURITIES LLC

CRD#: 312799Chicago, IL 60604

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