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Carlos Joseph Rodriguez

THE Leaders Group, Inc.

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About Carlos Joseph Rodriguez

Carlos Rodriguez is a financial advisor with The Leaders Group, Inc. based in Littleton, Colorado. Carlos has over 20 years of experience in the financial services industry, having held previous roles with firms such as Cetera Investment Services, Broker Dealer Financial Services, and Liberty Life Securities. He has a broad range of industry experience, including investment company products, variable contracts, and general securities. Carlos is registered with FINRA and the state of New York.

Firm Information

Carlos Rodriguez is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Carlos Rodriguez’s Registration & Firm History

CO

05/21/2024 - Present

THE Leaders Group, Inc. (LITTLETON CO)

CO

10/04/2019 - 08/26/2022

THE LEADERS GROUP, INC. (LITTLETON CO)

MN

07/31/2017 - 07/12/2018

CETERA INVESTMENT SERVICES LLC (ST. CLOUD MN)

IA

10/03/2011 - 12/31/2016

BROKER DEALER FINANCIAL SERVICES CORP. (WEST DES MOINES IA)

NH

10/07/2009 - 01/03/2011

LIBERTY LIFE SECURITIES LLC (DOVER NH)

NY

03/28/2003 - 03/04/2008

IFMG SECURITIES, INC. (NEW YORK NY)

WI

07/03/2002 - 04/01/2003

INVEST FINANCIAL CORPORATION (APPLETON WI)

TX

11/27/2001 - 07/08/2002

FISERV INVESTOR SERVICES, INC. (HOUSTON TX)

WI

02/07/2000 - 11/21/2001

INVEST FINANCIAL CORPORATION (APPLETON WI)

MA

02/12/1999 - 02/22/2000

METLIFE SECURITIES INC. (SPRINGFIELD MA)

NY

02/12/1999 - 02/22/2000

METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/22/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/12/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/22/2004

Series 7 - General Securities Representative Examination

BC

Issued 02/11/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Carlos Joseph Rodriguez. Review regulatory record here.
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