Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio T. Rodriguez is a financial advisor with Avantax Advisory Services. Sergio has been in the financial industry for over 11 years. He is registered with the state of Texas. Sergio holds Series 6, 7, 63, and 66 licenses. He is also licensed to sell fixed index annuities.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
TX
08/01/2022 - Present
Avantax Advisory Services (DEL RIO TX)
TX
08/16/2021 - 08/04/2022
PNC INVESTMENTS (DEL RIO TX)
TX
05/16/2013 - 08/16/2021
BBVA SECURITIES INC. (DEL RIO TX)
TX
10/10/2011 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (DEL RIO TX)
BOTH
Issued 08/01/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/03/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2014
Series 7 - General Securities Representative Examination
BC
Issued 10/08/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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