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Jose M Rodriguez Rodriguez

Ubs Financial Services Inc.

New York, NY

Coral Gables, FL

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-10-29
  • FL RA
    APPROVED
    Since 2025-10-29

Branch Locations

1285 Avenue Of The Americas 20Th Floor, New York, NY 10171 • United States

4225 Ponce De Leon Blvd Suite 600, Coral Gables, FL 33146 • 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
Wells Fargo Advisors, Llc Williamsville NY 06/2016 11/2016
Wells Fargo Clearing Services, Llc Williamsville NY 11/2016 04/2019
Broadspan Asset Management L.L.C. Miami FL 04/2019 06/2020
Morgan Stanley Smith Barney Llc Miami FL 06/2023 09/2025
Santander Bpi Miami FL 07/2020 06/2023
Ubs Financial Services Inc. Coral Gables FL 10/2025 Present
  • 06/2016 → 11/2016
    Wells Fargo Advisors, Llc
    Williamsville, NY
  • 11/2016 → 04/2019
    Wells Fargo Clearing Services, Llc
    Williamsville, NY
  • 04/2019 → 06/2020
    Broadspan Asset Management L.L.C.
    Miami, FL
  • 06/2023 → 09/2025
    Morgan Stanley Smith Barney Llc
    Miami, FL
  • 07/2020 → 06/2023
    Santander Bpi
    Miami, FL
  • 10/2025 → Present
    Ubs Financial Services Inc.
    Coral Gables, FL
Previous Registrations
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-04-22
S66 Uniform Combined State Law Examination 2016-09-29
  • S63 Uniform Securities Agent State Law Examination
    2023-04-22
  • S66 Uniform Combined State Law Examination
    2016-09-29
Designations
Other Names
  • Jose Rodriguez
  • Jose Maria Rodriguez Rodriguez
  • Jose Maria Rodriguez
  • Jose M Rodriguez
  • Jose M Rodriguez Rodriguez

View on SEC IAPD

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