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Rico Rodriguez

J.P. Morgan Securities LLC

Walnut Creek, CA

CRD 5910181

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Employer firm

J.p. Morgan Securities LLC CRD 79

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
J.P. Morgan Securities Llc

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-02-06
  • CA RA
    APPROVED
    Since 2020-02-06

Branch Locations

1390 S. Main Street, Floor 1, Walnut Creek, CA 94596 • 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
Jp Morgan Chase Bank Na Walnut Creek CA 06/2012 01/2020
J.P. Morgan Securities Llc Danville CA 10/2012 02/2020
Jp Morgan Securites, Llc Pleasant Hill CA 02/2020 Present
Jp Morgan Chase Bank, N.A. Pleasant Hill CA 02/2020 Present
Jp Morgan Chase Bank, N.A. San Ramon CA 04/2017 10/2018
Jp Morgan Chase Bank, N.A. Danville CA 06/2012 03/2017
  • 06/2012 → 01/2020
    Jp Morgan Chase Bank Na
    Walnut Creek, CA
  • 10/2012 → 02/2020
    J.P. Morgan Securities Llc
    Danville, CA
  • 02/2020 → Present
    Jp Morgan Securites, Llc
    Pleasant Hill, CA
  • 02/2020 → Present
    Jp Morgan Chase Bank, N.A.
    Pleasant Hill, CA
  • 04/2017 → 10/2018
    Jp Morgan Chase Bank, N.A.
    San Ramon, CA
  • 06/2012 → 03/2017
    Jp Morgan Chase Bank, N.A.
    Danville, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-27
S63 Uniform Securities Agent State Law Examination 2011-05-17
  • S66 Uniform Combined State Law Examination
    2019-11-27
  • S63 Uniform Securities Agent State Law Examination
    2011-05-17
Other Names
  • Rico S Rodriguez
  • Rico Stas Rodriguez

View on SEC IAPD

Nearby Firms

USCF ADVISERS
BURTON ENRIGHT WELCH
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Nearby Investors

CHRISTOPHER STEPHEN HUGHES
Gerwin de Haan
KELLY METZLER RANDALL

Nearby Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA

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