Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gloria? Claim Your ProfileGloria Rodriguez is an investment advisor representative with Wells Fargo Advisors Financial Network, LLC, Gloria has been in the industry since April 2004. Gloria is registered with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). Gloria holds Series 7 and Series 66 licenses, and the SIE exam. Gloria works in Westlake Village, California and specializes in working with insurance companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities.
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.
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2
CA
09/08/2022 - Present
Wells Fargo Advisors Financial Network, LLC (WESTLAKE VILLAGE CA)
CA
01/07/2013 - 09/08/2022
WELLS FARGO CLEARING SERVICES, LLC (PASADENA CA)
CA
10/13/2011 - 01/04/2013
BANCWEST INVESTMENT SERVICES, INC. (DOWNEY CA)
CA
01/03/2011 - 10/10/2011
WELLS FARGO ADVISORS, LLC (PASADENA CA)
CA
03/29/2004 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (PASADENA CA)
BOTH
Issued 10/01/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/25/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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