AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CR

Claudia F. Rodriguez

FALCON WEALTH PLANNING
Traverse City, MI
Some features on this profile are disabled
CRD#: 6662094
CR

Professional summary

Claudia Frances Rodriguez, who also goes by Claudia Frances Herman, Claudia F Okma, Claudia Frances Okma, Claudia F Rodriguez, is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Traverse City, Michigan.

Claudia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Claudia has worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Claudia Frances Herman | Claudia F Okma | Claudia Frances Okma | Claudia F 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) - RIA

Click below to view Claudia Frances 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

May 11, 2026 - Present

FALCON WEALTH PLANNING, INC.

RIA
CRD#: 174092
Traverse City, MI
Past

March 5, 2021 - February 26, 2026

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
Traverse City, MI
Past

October 7, 2016 - March 8, 2021

EDWARD JONES

RIA
CRD#: 250
TRAVERSE CITY, MI
Past

July 21, 2016 - March 8, 2021

EDWARD JONES

BD
CRD#: 250
TRAVERSE CITY, MI

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".
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA
Registered Investment Advisory firm - (3/19/2018 Approved)
California
Registered Investment Advisory firm - (5/5/2018 Terminated)

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
California
(5/11/2026)
IAR
Michigan
(5/11/2026)
IAR
Texas
(5/11/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/8/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/21/2016
General Securities Representative Examination

Current Firm

FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA
Registered Investment Advisory firm - (3/19/2018 Approved)
California
Registered Investment Advisory firm - (5/5/2018 Terminated)
Loading...

Contact information

Main Address
3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764
Mailing Address
Phone number
(855) 963-2526
Established
Firm type
Fiscal year end
# of Employees
40

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (2/18/2026)

Regulatory assets under management

Total Number of Accounts5,242
AUM (Assets Under Management)$ 1,552,684,912

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

FALCON WEALTH PLANNING, INC.

FALCON WEALTH PLANNING, INC.

CRD#: 174092Traverse City, MI

TRUST BUT VERIFY

Monitor Claudia Rodriguez

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.