Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ernesto? Claim Your ProfileErnesto Ivan Rodriguez is a financial advisor who has been in the industry since March 16, 2017. Ernesto is currently registered with LPL Financial LLC, and has been previously registered with BancWest Investment Services, Inc. and Vanguard Marketing Corporation. Ernesto holds the Series 7, Series 7TO, Series 63, Series 66, and SIE licenses. Ernesto is registered in 53 states for both Broker-Dealer and Investment Advisor. Ernesto specializes in working with high-net-worth individuals, corporations or other businesses, 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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
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2
AZ
07/19/2023 - Present
LPL Financial LLC (SAN LUIS AZ)
AZ
03/09/2023 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (TEMPE AZ)
AZ
08/31/2018 - 11/08/2019
BANCWEST INVESTMENT SERVICES, INC. (TEMPE AZ)
AZ
01/03/2017 - 08/27/2018
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
BC
Issued 03/06/2023
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 09/20/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/09/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/03/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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