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Paul Cortez Rodriguez

Arete Wealth Management, LLC

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About Paul Cortez Rodriguez

Paul Cortez Rodriguez is a financial advisor with over 30 years of experience in the industry. Paul is currently registered with Arete Wealth Management, LLC. Previously, Paul worked for several other firms including National Securities Corporation, Adirondack Trading Group LLC, J.P. Turner & Company, L.L.C., Cambridge Investment Research, Inc., Prudential Securities Incorporated, Smith Barney Inc., Lehman Brothers Inc., and Prudential Securities Incorporated. Paul holds Series 7, Series 63, and Series 65 licenses.

Firm Information

Paul Rodriguez is currently registered with Arete Wealth Management, LLC. Arete Wealth Management, LLC is a Limited Liability Company formed on January 20, 1998. The firm is registered with the SEC and in 53 states.

Not reported

Assets Under Management

Not reported

Total Clients

88

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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Paul Rodriguez’s Registration & Firm History

NY

08/01/2022 - Present

Arete Wealth Management, LLC (New York NY)

FL

05/09/2016 - 07/22/2022

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

NY

12/05/2014 - 07/13/2016

ADIRONDACK TRADING GROUP LLC (NEW WOODSTOCK NY)

AZ

10/24/2014 - 12/02/2014

J.P. TURNER & COMPANY, L.L.C. (GILBERT AZ)

AZ

01/16/2002 - 11/11/2014

CAMBRIDGE INVESTMENT RESEARCH, INC. (GILBERT AZ)

NY

05/22/1997 - 01/03/2002

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

07/31/1993 - 06/06/1997

SMITH BARNEY INC. (NEW YORK NY)

NY

08/24/1992 - 07/31/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/29/1991 - 08/27/1992

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

IA

Issued 03/08/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/16/1991

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/26/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Paul Cortez Rodriguez. Review regulatory record here.
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