Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roderick? Claim Your ProfileRoderick Sogocio is a financial advisor with Charles Schwab & Co., Inc. Roderick has been in the industry since 1996. Roderick has a combined 51 state registrations. Roderick holds the Series 63, Series 66, Series 7, Series 9, Series 10, and SIE licenses. Roderick is located in the Indianapolis branch office of Charles Schwab & Co., Inc. and has been with Charles Schwab & Co., Inc. since 1997. Charles Schwab & Co., Inc. is a Registered Investment Advisor (RIA) with more than $50 billion in assets under management. Roderick is also registered as an Investment Advisor Representative with the State of Indiana. Roderick is an advisor at Charles Schwab & Co., Inc. and is qualified to provide financial planning services. Roderick may also refer clients to other advisors. Roderick may receive compensation for the services provided.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
IN
06/05/2021 - Present
Charles Schwab & CO., Inc. (Indianapolis IN)
RI
05/09/1996 - 09/16/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 6/4/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/15/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/21/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/8/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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