Carlos S. Rodriguez
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.
Carlos Sword Rodriguez, who also goes by Carlos S Rodriguez Jr, Carlos Sword Rodriguez Jr, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 1975. Carlos had worked at 14 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2006 - September 5, 2012
D.A. DAVIDSON & CO.
May 2, 2005 - August 31, 2006
CORBY CAPITAL MARKETS, INC.
July 30, 2004 - March 23, 2005
CANTOR FITZGERALD & CO.
July 31, 2003 - June 16, 2004
SIEBERT WILLIAMS SHANK & CO., LLC
June 1, 2001 - August 12, 2003
STERNE, AGEE & LEACH, INC.
May 3, 1999 - May 15, 2001
ADVEST, INC.
December 17, 1998 - May 10, 1999
TD WEALTH MANAGEMENT SERVICES INC.
July 19, 1995 - November 3, 1998
BELLE HAVEN INVESTMENTS, L.P.
May 9, 1991 - June 8, 1995
ALEX. BROWN & SONS INCORPORATED
September 7, 1988 - April 30, 1991
J.P. MORGAN SECURITIES INC.
November 14, 1986 - September 7, 1988
LAZARD FRERES & CO. LLC
September 4, 1984 - October 10, 1986
EHRLICH-BOBER & CO., INC.
April 10, 1984 - August 17, 1984
LAZARD FRERES & CO. LLC
January 3, 1977 - June 25, 1977
REYNOLDS SECURITIES, INC.
February 11, 1975 - May 7, 1975
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/6/1975
Registered Representative ExaminationCurrent Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
