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JR

Jesse S. Rodriguez

Some features on this profile are disabled
CRD#: 7013895
JR

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.

Jesse Steban Rodriguez was a registered financial professional .

Jesse is a previously registered financial professional and started their career in finance in 2019. Jesse had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2025 - March 26, 2025

UPWELLING CAPITAL GROUP LLC

RIA
CRD#: 164653
DAVIS, CA
Past

January 2, 2024 - March 27, 2026

BA SECURITIES, LLC

BD
CRD#: 153489
DAVIS, CA
Past

January 2, 2019 - April 30, 2023

UPWELLING CAPITAL GROUP LLC

RIA
CRD#: 164653
DAVIS, CA
Past

January 2, 2019 - December 31, 2023

BRIDGE CAPITAL ASSOCIATES, INC.

BD
CRD#: 143475
Davis, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/5/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/3/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/2/2019
General Securities Representative Examination

Current Firm

UC
UPWELLING CAPITAL GROUP LLC
UPWELLING CAPITAL GROUP LLC

CRD#: 164653 / SEC#: 802-132842

RIA
Registered Investment Advisory firm - (3/26/2025 Terminated)
California
Registered Investment Advisory firm - (4/30/2023 Terminated)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
2820 5th St., Davis, CA 95618
Mailing Address
Phone number
(530) 758-7888
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2 A AND B (3/29/2024)

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
SEC / JURISDICTIONREPORTING STATUSEFFECTIVE DATE
SECERA - Active4/23/2025

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

UPWELLING CAPITAL GROUP LLC

CRD#: 164653

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