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CARLOS RODRIGUEZ
CARLOS RODRIGUEZ III
CRD#: 2064625
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Investment Adviser
BROAD BROOK FINANCIALCRD#: 173835 CHELMSFORD, MA
Registration History
20132014201520162017201820192020202120222023202420252026IABROAD BROOK FINANCIAL (CRD# 173835)2018 - Present (7 years)IABROAD BROOK FINANCIAL LLC (CRD# 173835)2015 - 2017 (2 years)IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2013 - 2014 (1 year)
License(s)

State Registrations

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Massachusetts 1/2/2018

Current Registration(s)
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BROAD BROOK FINANCIAL (CRD#:173835)
CHELMSFORD, MA
Registered with this firm since 1/2/2018

Previous Registration(s)
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01/29/2015 - 12/31/2017 BROAD BROOK FINANCIAL LLC (CRD#:173835) CHELMSFORD, MA
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07/29/2013 - 12/31/2014 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) BROAD BROOK, CT
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Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.