Catherine A Rodriguez
Professional Summary
Catherine A Rodriguez is a registered financial advisor currently at GOLDMAN SACHS & CO. LLC located in Miami, Florida. Catherine is registered as a RR (Registered Representative) and started their career in finance in 2018. Catherine has worked at 1 firm and has passed the Series 63, Series 3, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SUMMIT FINANCIAL, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT FINANCIAL, LLC
Disclosures on record.
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
SUMMIT FINANCIAL, LLC
Years of Experience
8 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
SUMMIT FINANCIAL, LLC
Current Firm
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")
Contact Information
Main Address
200 West Street, New York, NY 10282Mailing Address
111 South Main Street, Salt Lake City, UT 84111Phone Number
(212) 902-1000Established
New York since 01/03/1927Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
2,268SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE GOLDMAN SACHS GROUP, INC. | CLASS A MEMBER | — |
| BOSWORTH, MICHAEL SCOTT | MANAGING DIRECTOR, GENERAL COUNSEL, MANAGER | 7631615 |
| COLEMAN, DENIS PATRICK III | MANAGING DIRECTOR, MANAGER | 2782373 |
| DOYLE, BRIAN RICHARD | MANAGING DIRECTOR, CFO | 6003685 |
| GREEFF, BRIAN MICHAEL | CO-PRINCIPAL OPERATIONS OFFICER | 4273392 |
| MATTHIAS, THOMAS FAIRBANKS | CHIEF COMPLIANCE OFFICER | 2872690 |
| MCCASKILL, MARK | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 3272131 |
| SOLOMON, DAVID MICHAEL | MANAGING DIRECTOR, MANAGER | 1616414 |
| VENEZIA, CARMINE ANTHONY | CHIEF COMPLIANCE OFFICER | 4117304 |
| WALDRON, JOHN EDWARD | MANAGING DIRECTOR, CEO, MANAGER | 2569337 |
Regulatory Assets Under Management
Total Number of Accounts
46,269AUM (Assets Under Management)
$133,644,228,926Disclosures
Regulatory Event
416Civil Event
4Arbitration
20Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/25/2026 | Cover Page | Report |
| 10/24/2025 | Cover Page | Report |
| 09/25/2024 | Cover Page | Report |
| 11/17/2023 | Cover Page | Report |
Similar Advisors
SUMMIT FINANCIAL, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
Primary Firm SEC Registration
GOLDMAN SACHS & CO. LLC | MARCUS INVEST OFFERING OF GOLDMAN SACHS & CO. LLC | GOLDMAN, SACHS & CO. | GOLDMAN SACHS ASSET MANAGEMENT ("GSAM")
State Registrations and Notice Filings
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(9/18/2018)
(10/1/2018)
(10/1/2018)
(9/18/2018)
(9/18/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(9/18/2018)
(10/1/2018)
(9/18/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(9/18/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(9/18/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
(10/1/2018)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2021About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2021About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
Similar Advisors
SUMMIT FINANCIAL, LLC
CRS (Client Relationship Summary) - BD
Click below to view Catherine A Rodriguez's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT FINANCIAL, LLC