DR
Dimitri D. Rodrigo
FREC
Brookline, MA
Some features on this profile are disabled
CRD#: 6572840
DR
Professional summary
Dimitri Dilhan Rodrigo is a registered financial advisor currently at FREC located in Brookline, Massachusetts and FREC SECURITIES LLC located in San Francisco, California.
Dimitri is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Dimitri has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 57, Series 7, Series 62, Series 4, Series 27 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Dimitri Dilhan Rodrigo'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®
NoneExperience
Current
May 22, 2024 - Present
FREC
RIA
CRD#: 325982
Brookline, MA
Current
May 6, 2022 - Present
FREC SECURITIES LLC
Office #1: 171 2nd Street 3rd Floor, San Francisco, CA 94105BD
CRD#: 316641
San Francisco, CA
Past
December 23, 2020 - April 18, 2022
M1 FINANCE LLC
BD
CRD#: 281242
CHICAGO, IL
Past
January 1, 2016 - October 1, 2020
USTOCKTRADE SECURITIES, INC.
BD
CRD#: 16208
NEWTON, MA
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".
FR
FREC
FREC | FREC ADVISERS LLC
CRD#: 325982 / SEC#: 801-127783
RIA
Registered Investment Advisory firm - (4/27/2023 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.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
Alabama(8/1/2022)
RR
Alaska(8/1/2022)
RR
Arizona(8/1/2022)
RR
Arkansas(8/1/2022)
RR
California(8/1/2022)
RR
Colorado(8/1/2022)
RR
Connecticut(8/1/2022)
RR
Delaware(8/1/2022)
RR
District of Columbia(8/1/2022)
RR
Florida(8/1/2022)
RR
Georgia(8/1/2022)
RR
Hawaii(8/1/2022)
RR
Idaho(8/1/2022)
RR
Illinois(6/8/2022)
RR
Indiana(7/19/2022)
RR
Iowa(8/1/2022)
RR
Kansas(8/1/2022)
RR
Kentucky(8/1/2022)
RR
Louisiana(8/1/2022)
RR
Maine(8/1/2022)
RR
Maryland(8/1/2022)
RR
Massachusetts(7/15/2022)
IAR
Massachusetts(5/22/2024)
RR
Michigan(8/1/2022)
RR
Minnesota(8/1/2022)
RR
Mississippi(8/1/2022)
RR
Missouri(8/1/2022)
RR
Montana(8/1/2022)
RR
Nebraska(8/1/2022)
RR
Nevada(8/1/2022)
RR
New Hampshire(8/1/2022)
RR
New Jersey(8/1/2022)
RR
New Mexico(8/1/2022)
RR
New York(8/1/2022)
RR
North Carolina(8/1/2022)
RR
North Dakota(8/1/2022)
RR
Ohio(8/1/2022)
RR
Oklahoma(8/1/2022)
RR
Oregon(8/1/2022)
RR
Pennsylvania(8/1/2022)
RR
Puerto Rico(11/13/2023)
RR
Rhode Island(8/1/2022)
RR
South Carolina(8/1/2022)
RR
South Dakota(8/1/2022)
RR
Tennessee(8/1/2022)
RR
Texas(8/1/2022)
RR
Utah(8/1/2022)
RR
Vermont(8/1/2022)
RR
Virgin Islands(11/13/2023)
RR
Virginia(8/1/2022)
RR
Washington(8/1/2022)
RR
West Virginia(8/1/2022)
RR
Wisconsin(8/1/2022)
RR
Wyoming(8/1/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 12/31/2015
Corporate Securities Limited Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
FR
FREC
FREC | FREC ADVISERS LLC
CRD#: 325982 / SEC#: 801-127783
RIA
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Contact information
Main Address
171 2nd Street 3rd Floor, San Francisco, CA, 94105
Mailing Address
Phone number
(855) 900-3732
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 820 |
| AUM (Assets Under Management) | $ 119,214,747 |
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.
