Jacob T. Rodriguez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jacob Tyler Rodriguez, who also goes by Jacob Tyler Rodriguez, Jacob Rodriguez, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2018. Jacob had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2024 - December 18, 2024
N.I.S. FINANCIAL SERVICES, INC.
September 2, 2021 - August 4, 2022
UNITED CAPITAL FINANCIAL ADVISORS
September 2, 2021 - August 4, 2022
GOLDMAN SACHS & CO. LLC
October 29, 2020 - August 3, 2021
J.P. MORGAN SECURITIES LLC
October 29, 2020 - August 3, 2021
J.P. MORGAN SECURITIES LLC
July 2, 2020 - December 18, 2020
THRIVENT ADVISOR NETWORK, LLC
December 17, 2019 - October 20, 2020
PURSHE KAPLAN STERLING INVESTMENTS
June 25, 2019 - December 12, 2019
EQUITABLE ADVISORS, LLC
August 30, 2018 - December 12, 2019
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
N.I.S. FINANCIAL SERVICES, INC.
CRD#: 5361 / SEC#: , 8-15919
Contact information
FINRA licenses (30 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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