Jesse S. Rodriguez
Professional summary
Jesse Steban Rodriguez is a registered financial professional currently at BA SECURITIES, LLC located in Davis, California.
Jesse is registered as a RR (Registered Representative) and started their career in finance in 2019. Jesse has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jesse Steban Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 2, 2024 - Present
BA SECURITIES, LLC
Office #1: 2820 Fifth Avenue, Davis, CA 95618January 2, 2025 - March 26, 2025
UPWELLING CAPITAL GROUP LLC
January 2, 2019 - April 30, 2023
UPWELLING CAPITAL GROUP LLC
January 2, 2019 - December 31, 2023
BRIDGE CAPITAL ASSOCIATES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/2/2024)
(4/22/2024)
(4/23/2024)
(4/23/2024)
(1/2/2024)
Exams
FINRA
Current Firm
BA SECURITIES, LLC
CRD#: 153489 / SEC#: , 8-68545
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BA HOLDCO, LLC | OWNER | |
| BOLDEN, MICHAEL LABRADOR | CHIEF COMPLIANCE OFFICER | 6411755 |
| CHUFF, JOHN JOSEPH | PRESIDENT | 1205736 |
| HATLING, PEDER ALAN | PRINCIPAL | 5240595 |
| JUILIANO, COLLEEN JANE | FINOP | 4818898 |
| KELLER-YOUNG, SUZANNE | OPERATIONS MANAGER | 5495492 |
| PICKENS, DANIEL NEHIL | PRINCIPAL | 1042225 |
| WENTZLER, DENNIS RAYMOND | CHIEF OPERATIONS OFFICER & AML OFFICER | 4221461 |
Red Flags
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