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MR

Marco A. Rodriguez

WESTWIND CAPITAL
Las Cruces, NM 88011
Some features on this profile are disabled
CRD#: 6398971
MR

Professional summary

Marco A Rodriguez, who also goes by Marco Antonio Rodriguez, Marco Rodriguez, Marco Antonio Rodriguez Torres, is a registered financial advisor currently at WESTWIND CAPITAL located in Las Cruces, New Mexico.

Marco is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Marco has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Marco Antonio Rodriguez | Marco Rodriguez | Marco Antonio Rodriguez Torres

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) - RIA

Click below to view Marco A 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

April 19, 2022 - Present

WESTWIND CAPITAL

Office #1: 1800 S. Telshor, Las Cruces, NM 88011
RIA
CRD#: 106802
Las Cruces, NM
Past

May 20, 2021 - April 12, 2022

FINHABITS ADVISORS, LLC

RIA
CRD#: 210522
El Paso, TX
Past

January 22, 2018 - April 22, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
EL PASO, TX
Past

January 22, 2018 - April 22, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
EL PASO, TX
Past

November 15, 2017 - January 10, 2018

PNC MANAGED ACCOUNT SOLUTIONS, INC.

RIA
CRD#: 110476
El Paso, TX
Past

September 6, 2017 - January 10, 2018

BBVA SECURITIES INC.

BD
CRD#: 27060
EL PASO, TX
Past

February 22, 2016 - September 5, 2017

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
El Paso, TX

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".
WC
WESTWIND CAPITAL
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES

CRD#: 106802 / SEC#: 801-43661

RIA
Registered Investment Advisory firm - (4/7/1993 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Colorado
(1/10/2024)
IAR
New Mexico
(4/20/2022)
IAR
Texas
(4/19/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 11/14/2017
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/14/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/22/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/15/2016
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/13/2016
General Securities Sales Supervisor - Options Module Examination

Current Firm

WC
WESTWIND CAPITAL
LORD SPENCE & ASSOCIATES | WESTWIND CAPITAL | SPENCE ASSET MANAGEMENT | LORD, SPENCE & ASSOCIATES

CRD#: 106802 / SEC#: 801-43661

RIA
Registered Investment Advisory firm - (4/7/1993 Approved)
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Contact information

Main Address
1800 S. Telshor, Las Cruces, NM 88011
Mailing Address
Phone number
(575) 556-8500
Established
Firm type
Fiscal year end
# of Employees
7

SEC notice filing (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

2024 WESTWIND CAPITAL ADV PART 2A (2/10/2025)

Regulatory assets under management

Total Number of Accounts1,945
AUM (Assets Under Management)$ 715,145,223

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
05/31/2023
Cover Page
Report

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

WESTWIND CAPITAL

CRD#: 106802Las Cruces, NM 88011

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