Hector Ronald Rodriguez

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Educational seminars
CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-07-29
TX	RA	APPROVED_RES	2005-07-08
RI	RA	APPROVED	2002-02-21

FL RA
APPROVED

Since 2021-07-29
TX RA
APPROVED_RES

Since 2005-07-08
RI RA
APPROVED

Since 2002-02-21

Branch Locations

850 Aquidneck Ave, Suite A4, Middletown, RI 02842 • United States

Venice, FL • 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

Organization	City	State	From	To
Lpl Financial, Llc (Formerly: Linsco Private Ledger Corp)	Middletown	RI	02/2002	Present

02/2002 → Present

Lpl Financial, Llc (Formerly: Linsco Private Ledger Corp)

Middletown, RI

Other Businesses

1) 8/23/2002 - NON-VARIABLE INSURANCE - INDEPENDENT INSURANCE AGENT - FIXED PRODUCTS ONLY - MIDDLETOWN, RI. 2) 10/17/2012 - DBA ONLY - RODRIGUEZ WEALTH MANAGEMENT - MIDDLETOWN, RI

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-01-11
S65	Uniform Investment Adviser Law Examination	1994-01-11

S63 Uniform Securities Agent State Law Examination

1994-01-11
S65 Uniform Investment Adviser Law Examination

1994-01-11

View on SEC IAPD

Employer firm

Current Employers

Lpl Financial Llc

Disclosures

Employment History

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Exams

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