Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Connie? Claim Your ProfileConnie Rodriguez-garcia is a financial advisor who has been in the industry since 2002. Connie is currently registered with Wells Fargo Clearing Services, LLC in Pasadena, CA. Previously, Connie was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, Inc., Citigroup Global Markets Inc., CITICORP INVESTMENT SERVICES and The Leaders Group, Inc. Connie is a Series 7, 6, 63 and 66 licensed professional. Connie holds a SIE license as well.
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.
Investment consulting services to institutional clients
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
03/18/2016 - Present
Wells Fargo Clearing Services, LLC (PASADENA CA)
CA
10/23/2009 - 03/22/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
CA
10/03/2008 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PASADENA CA)
CA
05/29/2007 - 10/16/2008
CITIGROUP GLOBAL MARKETS INC. (WEST HOLLYWOOD CA)
NY
04/25/2006 - 05/29/2007
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
CO
06/15/2004 - 04/26/2006
THE LEADERS GROUP, INC. (LITTLETON CO)
NY
10/17/2000 - 11/12/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
BOTH
Issued 03/17/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/04/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2007
Series 7 - General Securities Representative Examination
BC
Issued 10/16/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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