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Ivan Aniciete Rodriguez

Charles Schwab & Co., Inc.

Lone Tree, CO

San Diego, CA

CRD 5501658

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Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Selection of other advisers
  • WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

From the firm’s Form ADV. Read the guides:

Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-09-08
  • CA RA
    APPROVED
    Since 2022-09-08

Branch Locations

9800 Schwab Way, Lone Tree, CO 80124 • United States

San Diego, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc San Diego CA 03/2008 03/2018
Altegris Investments La Jolla CA 04/2018 10/2020
Lpl Financial Llc San Diego CA 11/2020 01/2022
Charles Schwab & Co., Inc. San Diego CA 01/2022 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-02-14
  • S66 Uniform Combined State Law Examination
    2012-02-14
Other Names
  • Ivan A Rodriguez
  • Ivan Rodriguez

View on SEC IAPD

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