Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carlos? Claim Your ProfileCarlos Raul Rodriguez is a financial advisor with J.P. Morgan Securities LLC. Carlos has been in the industry since 2018. Previously, Carlos worked at WELLS FARGO CLEARING SERVICES, LLC. Carlos holds Series 6, 7, 63, 66, and SIE licenses. Carlos is registered to provide investment advice in 22 states and is also an investment advisor representative. Carlos is an active advisor at J.P. Morgan Securities LLC and provides services including financial planning, portfolio management, and selection of other advisors. Carlos primarily works with high net worth individuals, corporations, and charitable organizations.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
FL
08/18/2023 - Present
J.p. Morgan Securities LLC (MIAMI FL)
FL
07/19/2022 - 08/22/2023
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
FL
02/28/2017 - 06/03/2021
WELLS FARGO CLEARING SERVICES, LLC (AVENTURA FL)
BOTH
Issued 08/12/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/10/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/21/2024
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 07/19/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2017
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Carlos Rodriguez is the right advisor for you? Invested Better is here to help.
