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Max Enrique Rodriguez

Invicta Capital LLC

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About Max Enrique Rodriguez

Max Rodriguez is a financial professional with over 17 years of experience in the industry. Max is currently registered with Invicta Capital LLC as a broker. Previously, Max has worked for several well-known financial institutions including Barings Securities LLC, Tocqueville Securities L.P., UMB Distribution Services, LLC, J.P. Morgan Institutional Investments Inc., JPMorgan Distribution Services, Inc., Pacific Select Distributors, Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Max has passed the Series 66, Series 7 and SIE exams.

Firm Information

Max Rodriguez is currently registered with Invicta Capital LLC. Invicta Capital LLC is a Limited Liability Company formed in 2010. The firm is registered in 31 states and has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

33

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Max Rodriguez’s Registration & Firm History

PA

01/12/2024 - Present

Invicta Capital LLC (OAKMONT PA)

NC

12/03/2018 - 07/19/2022

BARINGS SECURITIES LLC (CHARLOTTE NC)

NY

10/14/2015 - 11/23/2018

TOCQUEVILLE SECURITIES L.P. (NEW YORK NY)

WI

03/21/2014 - 08/05/2015

UMB DISTRIBUTION SERVICES, LLC (MILWAUKEE WI)

CA

01/03/2011 - 01/21/2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (IRVINE CA)

OH

12/17/2007 - 01/03/2011

JPMORGAN DISTRIBUTION SERVICES, INC. (COLUMBUS OH)

CA

07/25/2005 - 06/21/2007

PACIFIC SELECT DISTRIBUTORS, INC. (NEWPORT BEACH CA)

NY

12/17/2003 - 03/07/2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 02/20/2004

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/16/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Max Enrique Rodriguez.
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