Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Juan? Claim Your ProfileJuan A Rodriguez is an investment advisor representative with LPL Financial LLC in New Rochelle, NY. Juan has been in the industry since November 24, 2007, and has a Series 6, 7, and 66 license. Juan previously worked at HSBC Securities (USA) Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Juan's firm, LPL Financial LLC, is a registered investment advisor with more than $50 billion in assets under management.
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
NY
05/04/2021 - Present
LPL Financial LLC (NEW ROCHELLE NY)
NY
10/28/2013 - 04/30/2021
HSBC SECURITIES (USA) INC. (Yonkers NY)
NY
09/24/2009 - 12/05/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ROSLYN HEIGHTS NY)
NY
08/29/2006 - 05/20/2009
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
BOTH
Issued 02/06/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2009
Series 7 - General Securities Representative Examination
BC
Issued 08/28/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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