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RB

Rodrigo M. Borba

ANDBANC BROKERAGE
Miami, FL 33131
Some features on this profile are disabled
CRD#: 7374134
RB

Professional summary

Rodrigo Molina Borba is a registered financial professional currently at ANDBANC BROKERAGE, LLC located in Miami, Florida.

Rodrigo is registered as a RR (Registered Representative) and started their career in finance in 2021. Rodrigo has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE 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) - BD

Click below to view Rodrigo Molina Borba'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

January 7, 2025 - Present

ANDBANC BROKERAGE, LLC

Office #1: 201 S. Biscayne Boulevard, Suite 1100, Miami, FL 33131
BD
CRD#: 155979
Miami, FL
Past

June 21, 2021 - December 31, 2024

U-SA SECURITIES LLC

RIA
CRD#: 314297
MIAMI, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(1/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/3/2024
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/1/2021
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/7/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/15/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AB
ANDBANC BROKERAGE, LLC
ANDBANC BROKERAGE, LLC

CRD#: 155979 / SEC#: , 8-68759

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
201 S. Biscayne Boulevard, Suite 1100, Miami, FL 33131
Mailing Address
201 S. Biscayne Boulevard, Suite 1100, Miami, FL 33131
Phone number
(305) 702-1617
Established
Florida since 11/08/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ANDBANC WEALTH MANAGEMENT LLCOWNER / MEMBER153102
GILMAN, ROBERT CRAIGPRINCIPAL FINANCIAL OFFICER1738412
GRIBEL, CARLOS EDUARDOCEO
ZENO, JOHN JOSEPHCCO/AMLCO2871575

Disclosures

Regulatory Event1

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

ANDBANC BROKERAGE, LLC

CRD#: 155979Miami, FL 33131

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