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Carlos A Rodriguez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lilburn, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-12
GA RA APPROVED 2023-04-13
  • TX RA
    APPROVED
    Since 2023-05-12
  • GA RA
    APPROVED
    Since 2023-04-13

Branch Locations

3930 Lawrenceville Hwy Nw, Lilburn, GA 30047 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lawrenceville GA 09/2022 Present
Pnc Bank Duluth GA 06/2022 09/2022
Bank Of America N.A. Lawrenceville GA 01/2018 06/2022
United Cellular Inc. Buford GA 02/2012 01/2018
Bank Of America, N.A. Lawrenceville GA 03/2023 Present
  • 09/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Lawrenceville, GA
  • 06/2022 → 09/2022
    Pnc Bank
    Duluth, GA
  • 01/2018 → 06/2022
    Bank Of America N.A.
    Lawrenceville, GA
  • 02/2012 → 01/2018
    United Cellular Inc.
    Buford, GA
  • 03/2023 → Present
    Bank Of America, N.A.
    Lawrenceville, GA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-04-10
  • S66 Uniform Combined State Law Examination
    2023-04-10
Other Names
  • Carlos A Rodriguez Rojas

View on SEC IAPD

Other Firms

STATE FARM INVESTMENT MANAGEMENT CORP.
LPL FINANCIAL LLC
PNC WEALTH MANAGEMENT LLC
WELLS FARGO CLEARING SERVICES, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
EDWARD JONES
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CETERA INVESTMENT ADVISERS LLC

Other Investors

Kenneth Howard
FREDERICK JOSEPH CTIBOR
MICHAEL THOMAS ROBINSON
Diana Sanchez Nazario
Luis Estuardo Menendez
Samuel Ryan Glidewell
Trent Richard Lewis
ADIS CUKOVIC

Other Offices

STATE FARM INVESTMENT MANAGEMENT CORP. · Lilburn, GA
LPL FINANCIAL LLC · LILBURN, GA
PNC WEALTH MANAGEMENT LLC · Lilburn, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Lawrenceville, GA
WELLS FARGO CLEARING SERVICES, LLC · NORCROSS, GA
STATE FARM INVESTMENT MANAGEMENT CORP. · Norcross, GA
TRANSAMERICA FINANCIAL ADVISORS, LLC · Norcross, GA
EDWARD JONES · LILBURN, GA

More in Lilburn, GA

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