Armando E. Rodriguez

CRD#: 6005383

Some features on this profile are disabled

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.

Armando E Rodriguez, who also goes by Armando E Rodriguez, Armando Enrique Rodriguez, was a registered financial professional .

Armando is a previously registered financial professional and started their career in finance in 2012. Armando had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Armando E Rodriguez | Armando Enrique Rodriguez

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)

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

January 10, 2025 - May 12, 2026

ANDBANC ADVISORY LLC

RIA

CRD#: 150463

MIAMI, FL

Past

January 6, 2025 - May 12, 2026

ANDBANC BROKERAGE, LLC

CRD#: 155979

MIAMI, FL

Past

February 3, 2020 - October 25, 2024

MORGAN STANLEY

RIA

CRD#: 149777

Miami, FL

Past

August 15, 2019 - October 25, 2024

MORGAN STANLEY

CRD#: 149777

Miami, FL

Past

May 8, 2018 - September 17, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

Miami, FL

Past

October 13, 2015 - January 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MIAMI, FL

Past

May 16, 2014 - October 23, 2015

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MIAMI, FL

Past

December 22, 2012 - May 6, 2014

BNP PARIBAS INVESTMENT SERVICES, LLC

CRD#: 44598

MIAMI, FL

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".

ANDBANC ADVISORY LLC

ANDBANC ADVISORY LLC | SEA CAPITAL ADVISORS LLC | NAME1001

CRD#: 150463 / SEC#: 801-79716

RIA

Registered Investment Advisory firm - (5/19/2014 Approved)

Florida

Registered Investment Advisory firm - (6/30/2014 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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/1/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/12/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/21/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/2/2026

Registered Options Principal Examination

Current Firm

ANDBANC ADVISORY LLC

ANDBANC ADVISORY LLC | SEA CAPITAL ADVISORS LLC | NAME1001

CRD#: 150463 / SEC#: 801-79716

RIA

Registered Investment Advisory firm - (5/19/2014 Approved)

Florida

Registered Investment Advisory firm - (6/30/2014 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

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

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

Contact information

Main Address

201 S. Biscayne Blvd. Suite 1100, Miami, FL 33131

Mailing Address

Phone number

(305) 702-0601

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

ANDBANC ADVISORY LLC ADV BROCHURE (3/10/2026)

Regulatory assets under management

Total Number of Accounts	472
AUM (Assets Under Management)	$ 806,476,121

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

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Armando E. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ANDBANC BROKERAGE, LLC

MORGAN STANLEY

MORGAN STANLEY

J.P. MORGAN SECURITIES LLC

WELLS FARGO CLEARING SERVICES, LLC

UBS FINANCIAL SERVICES INC.

BNP PARIBAS INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

ANDBANC ADVISORY LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/1/2020

Series 63

Date: 9/12/2013

SIE

Date: 9/17/2018

Series 7

Date: 12/21/2012

Series 4

Date: 2/2/2026

Current Firm

ANDBANC ADVISORY LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ANDBANC ADVISORY LLC

TRUST BUT VERIFY

Similar Advisors