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Marc Rodriguez

Morgan Stanley

Pasadena, CA

Claremont, CA

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-08
CA RA APPROVED 2019-11-08
  • TX RA
    APPROVED_RES
    Since 2020-04-08
  • CA RA
    APPROVED
    Since 2019-11-08

Branch Locations

55 South Lake Avenue Pasadena Towers - Tower Ii Suite 700, Pasadena, CA 91101 • United States

456 West Foothill Blvd, Claremont, CA 91711 • 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
Mufg Union Bank Puente Hills CA 11/2006 Present
Unionbanc Investment Services Glendora CA 12/2016 10/2019
Morgan Stanley Claremont CA 10/2019 Present
Morgan Stanley Private Bank, N.A New York NY 10/2022 Present
  • 11/2006 → Present
    Mufg Union Bank
    Puente Hills, CA
  • 12/2016 → 10/2019
    Unionbanc Investment Services
    Glendora, CA
  • 10/2019 → Present
    Morgan Stanley
    Claremont, CA
  • 10/2022 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-28
S63 Uniform Securities Agent State Law Examination 2017-02-13
  • S65 Uniform Investment Adviser Law Examination
    2017-09-28
  • S63 Uniform Securities Agent State Law Examination
    2017-02-13
Other Names
  • Marc A Rodriguez

View on SEC IAPD

Other Firms

CMR CAPITAL MANAGEMENT, LLC
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
STRATEGY ASSET MANAGERS L.L.C.
MML INVESTORS SERVICES, LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
NASDAQ DORSEY WRIGHT
U.S. BANCORP ADVISORS, LLC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

Other Investors

CHRISTOPHER LEU
JAY EDWIN LOMETILLO
Salvador Rodriguez
Angel Kam Fung Chen
Jaymie BRIAN Wetzel
ALISA JANE CHANPONG
HEIDI PUI WA LEU
Mui Fan CHAN Graca

Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
MML INVESTORS SERVICES, LLC · Pasadena, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
U.S. BANCORP ADVISORS, LLC · Pasadena, CA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA

More in Pasadena, CA

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