Raul Rodriguez

SIGNAL ADVISORS WEALTH

NORTHLAKE, TX

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CRD#: 7174170

Professional summary

Raul Rodriguez JR., who also goes by Rod Rodriguez, Raul Rodriguez Jr., Raul Rodriguez, is a registered financial advisor currently at SIGNAL ADVISORS WEALTH, LLC located in Northlake, Texas.

Raul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2019. Raul has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rod Rodriguez | Raul Rodriguez Jr. | Raul 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 Raul Rodriguez JR.'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

February 24, 2025 - Present

SIGNAL ADVISORS WEALTH, LLC

RIA

CRD#: 301086

NORTHLAKE, TX

Past

October 20, 2023 - January 7, 2025

COMPOUND PLANNING, INC.

RIA

CRD#: 171787

Northlake, TX

Past

March 28, 2023 - November 27, 2023

COMPOUND ADVISERS, INC.

RIA

CRD#: 306341

Northlake, TX

Past

August 5, 2022 - February 16, 2023

CAPITAL ADVISORS, INC.

RIA

CRD#: 104643

FRISCO, TX

Past

January 3, 2022 - July 29, 2022

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Westlake, TX

Past

November 8, 2019 - November 27, 2021

J.P. MORGAN SECURITIES LLC

CRD#: 79

Plano, TX

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".

SIGNAL ADVISORS WEALTH, LLC

CRD#: 301086 / SEC#: 801-127017

RIA

Registered Investment Advisory firm - (12/8/2022 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

Texas
(2/24/2025)

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: 10/9/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/22/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/8/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/27/2019

Securities Industry Essentials Examination

Current Firm

SIGNAL ADVISORS WEALTH, LLC

CRD#: 301086 / SEC#: 801-127017

RIA

Registered Investment Advisory firm - (12/8/2022 Approved)

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Contact information

Main Address

1555 Broadway St, Detroit, MI 48226

Mailing Address

Phone number

+1 (866) 774-4625

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIGNAL ADVISORS WRAP FEE BROCHURE (10/1/2025)

ADV PART 2A BROCHURE (10/1/2025)

Regulatory assets under management

Total Number of Accounts	10,250
AUM (Assets Under Management)	$ 1,352,814,108

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

Raul Rodriguez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raul Rodriguez JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

COMPOUND PLANNING, INC.

COMPOUND ADVISERS, INC.

CAPITAL ADVISORS, INC.

ROBINHOOD FINANCIAL, LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

SIGNAL ADVISORS WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/9/2021

Series 63

Date: 11/22/2019

Series 7TO

Date: 11/8/2019

SIE

Date: 9/27/2019

Current Firm

SIGNAL ADVISORS WEALTH, LLC

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIGNAL ADVISORS WEALTH, LLC

TRUST BUT VERIFY

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