Sergio D. Rodriguez

MALTIN WEALTH MANAGEMENT

Ridgewood, NJ

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CRD#: 6679755

Professional summary

Sergio Daniel Rodriguez, CFP® is a registered financial advisor currently at MALTIN WEALTH MANAGEMENT, INC. located in Ridgewood, New Jersey.

Sergio is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Sergio has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 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.

(1) M Holdings Securities, Inc.; Portland, OR; Broker Dealer; Investment-Related; Registered Representative; duties include consulting; started 01/2020; 60% of time; 60% of time during trading hours (2) Cornerstone Advisors Asset Management, LLC; Bethlehem, PA; Investment Advisor; Investment-Related; Consultant; duties include consulting; started 01/2020; 10% of time; 10% of time during trading hours (3) Cornerstone Institutional Investors, LLC; Bethlehem, PA; Insurance Agency; Investment-Related; Consultant; duties include consulting; started 01/2020; 30% of time; 30% of time during trading hours (4) Cornerstone Benefits, Inc. is the parent company of Cornerstone Institutional Investors, LLC and Cornerstone Advisors Asset Management, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio Daniel 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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

May 12, 2023 - Present

MALTIN WEALTH MANAGEMENT, INC.

RIA

CRD#: 164330

Ridgewood, NJ

Past

January 23, 2023 - March 9, 2023

OSAIC FA, INC.

RIA

CRD#: 3978

EMMAUS, PA

Past

January 23, 2023 - March 9, 2023

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

April 28, 2020 - January 23, 2023

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

RIA

CRD#: 138638

BETHLEHEM, PA

Past

February 3, 2020 - January 18, 2023

M HOLDINGS SECURITIES, INC.

CRD#: 43285

BETHLEHEM, PA

Past

October 1, 2019 - February 4, 2020

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

MALVERN, PA

Past

August 1, 2016 - February 4, 2020

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

MALTIN WEALTH MANAGEMENT, INC.

AVEMPT WEALTH MANAGEMENT LLC | MALTIN WEALTH MANAGEMENT, INC. | AVEMPT WEALTH MANAGEMENT, INC.

CRD#: 164330 / SEC#: 801-77022

RIA

Registered Investment Advisory firm - (8/13/2012 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

New Jersey
(5/12/2023)

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: 9/4/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/1/2016

General Securities Representative Examination

Current Firm

MALTIN WEALTH MANAGEMENT, INC.

AVEMPT WEALTH MANAGEMENT LLC | MALTIN WEALTH MANAGEMENT, INC. | AVEMPT WEALTH MANAGEMENT, INC.

CRD#: 164330 / SEC#: 801-77022

RIA

Registered Investment Advisory firm - (8/13/2012 Approved)

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Contact information

Main Address

Ridgewood, NJ

Mailing Address

Phone number

(201) 215-3855

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (2/18/2025)

Regulatory assets under management

Total Number of Accounts	1,123
AUM (Assets Under Management)	$ 425,480,367

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.

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Firm Stability Insights

Sergio D. Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sergio Daniel Rodriguez's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC FA, INC.

OSAIC FA, INC.

CORNERSTONE ADVISORS ASSET MANAGEMENT, LLC

M HOLDINGS SECURITIES, INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

MALTIN WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/4/2019

Series 63

Date: 8/10/2016

SIE

Date: 10/1/2018

Series 7

Date: 8/1/2016

Current Firm

MALTIN WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MALTIN WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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