Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rodolfo? Claim Your ProfileRodolfo Gomez is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., a firm with over $1 trillion in regulatory assets under management. Rodolfo has been in the financial industry since 1995 and is registered as a broker-dealer and investment advisor in several states. Rodolfo has passed the Series 3, 7, 9, 10, 63, and 65 exams, as well as the SIE exam. He has also been involved with several charitable organizations. Rodolfo offers a wide range of services to clients, including portfolio management for individuals and businesses, and pension consulting.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
01/30/1995 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MCALLEN TX)
IA
Issued 02/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/23/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/11/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/2011
Series 3 - National Commodity Futures Examination
BC
Issued 01/09/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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