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Rodolfo Q. Villamar

Some features on this profile are disabled
CRD#: 729185
RV

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.

Rodolfo Quel Villamar was a registered financial professional .

Rodolfo is a previously registered financial professional and started their career in finance in 1981. Rodolfo had worked at 8 firms and has passed the Series 63, Series 7TO, SIE and Series 2 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

August 10, 2018 - September 1, 2023

SOVEREIGN GLOBAL ADVISORS LLC

BD
CRD#: 167663
DENVER, CO
Past

November 19, 2007 - July 19, 2018

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
STATEN INLAND, NY
Past

October 18, 2005 - November 15, 2007

CONTEMPORARY FINANCIAL SOLUTIONS, INC.

BD
CRD#: 121699
STATEN ISLAND, NY
Past

September 29, 2003 - October 6, 2005

USALLIANZ SECURITIES, INC.

BD
CRD#: 40875
MINNEAPOLIS, MN
Past

October 4, 1984 - September 17, 2003

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

June 19, 1983 - August 13, 1984

AETNA LIFE INSURANCE AND ANNUITY COMPANY

BD
CRD#: 13256
Past

March 23, 1981 - December 14, 1984

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

BD
CRD#: 2873
Past

March 23, 1981 - December 14, 1984

MONY SECURITIES CORPORATION

BD
CRD#: 4386

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
Series 63
Date: 12/6/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 2
Date: 10/31/1972
Non-Member General Securities Examination

Current Firm

SG
SOVEREIGN GLOBAL ADVISORS LLC
DRAGOTTA, JOHN | SOVEREIGN GLOBAL ADVISORS, LLC | SOVEREIGN GLOBAL ADVISORS LLC

CRD#: 167663 / SEC#: , 8-69274

California
Registered Investment Advisory firm - SEC (10/13/2022 Approved)
Colorado
Registered Investment Advisory firm - SEC (8/19/2023 Approved)
Florida
Registered Investment Advisory firm - SEC (4/11/2023 Approved)
New Jersey
Registered Investment Advisory firm - SEC (9/2/2016 Approved)
New York
Registered Investment Advisory firm - SEC (3/30/2016 Approved)
Texas
Registered Investment Advisory firm - SEC (7/2/2020 Approved)
Virginia
Registered Investment Advisory firm - SEC (4/12/2018 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
501 S Cherry Street 11th Floor, Denver, CO 80246
Mailing Address
501 S Cherry Street 11th Floor, Denver, CO 80246
Phone number
(866) 790-9700
Established
New York since 03/18/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
11

FINRA licenses (40 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
ADAPT HOLDING COMPANYDIRECT OWNER
DRAGOTTA, JOHN ANGELO JRCEO, INVESTMENT ADVISOR CCO3045806
MOHNEY, BRIAN EUGENECCO/FINOP2890043

Regulatory assets under management

Total Number of Accounts11
AUM (Assets Under Management)$ 3,583,152

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

SOVEREIGN GLOBAL ADVISORS LLC

CRD#: 167663

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