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Juan A Rodriguez

LPl Financial LLC

New Rochelle, NY

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-04
  • NY RA
    APPROVED
    Since 2021-05-04

Branch Locations

20 Burling Lane, Ste 402, New Rochelle, NY 10801 • 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
Hsbc Securities (Usa) Inc. New Rochelle NY 10/2013 04/2021
Lpl Financial Llc New Rochelle NY 04/2021 Present
Previous Registrations
  • 2013-10-29 → 2021-04-30
    Hsbc Securities (Usa) Inc.
    Yonkers, NY
    Yonkers, NY
    Mount Vernon, NY
    New Rochelle, NY
    Mamaroneck, NY
    Pelham, NY
  • 2009-09-24 → 2012-12-05
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Huntington, NY
    Garden City, NY
    Melville, NY
    Huntington, NY
    Huntington, NY
    New York, NY
    New York, NY
    Huntington, NY
    Roslyn Heights, NY
    Roslyn Heights, NY
    Melville, NY
  • 2009-02-10 → 2009-05-20
    Chase Investment Services Corp.
    New York, NY
Other Businesses

1) 4/2021- JAR WEALTH ADVISORY GROUP- DBA for LPL Business (entity for LPL business)- Inv. Related- New Rochelle, NY- 100%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-02-06
S63 Uniform Securities Agent State Law Examination 2006-09-08
  • S66 Uniform Combined State Law Examination
    2009-02-06
  • S63 Uniform Securities Agent State Law Examination
    2006-09-08

View on SEC IAPD

Other Firms

PFS INVESTMENTS INC.
NEW STATE CAPITAL PARTNERS
EREZ ASSET MANAGEMENT, LLC
J.P. MORGAN SECURITIES LLC
PRIVATE ADVISOR GROUP, LLC
EDWARD JONES
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
HEYDORN STONE CAPITAL MANAGEMENT LLC

Other Investors

TONI CLARK
RONALD FREDERICK SCHMITT
RAFAEL M MEDINA
PETER V TRULLI
KEVIN MITCHELL MYERS
JOHN BOSCO WALSH
Daniel J Confreda
Aidan Thomas Durney

Other Offices

PFS INVESTMENTS INC. · NEW ROCHELLE, NY
NEW STATE CAPITAL PARTNERS · NEW ROCHELLE, NY
EREZ ASSET MANAGEMENT, LLC · NEW ROCHELLE, NY
J.P. MORGAN SECURITIES LLC · NEW ROCHELLE, NY
PRIVATE ADVISOR GROUP, LLC · NEW ROCHELLE, NY
LPL FINANCIAL LLC · NEW ROCHELLE, NY
EDWARD JONES · NEW ROCHELLE, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · NEW ROCHELLE, NY

More in New Rochelle, NY

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