Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Robin Rodriguez
ROBIN RODRIGUEZ
CRD#: 5446298
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 35 NORTH LAKE AVENUE
SUITE 800
PASADENA, CA 91101
Registration History
20082010201220142016201820202022202420262 FIRMS2020 - 2022 (2 years)4 FIRMS2023 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BMML DISTRIBUTORS, LLC (CRD# 38030)2017 - 2017 (<1 year)BVOYA FINANCIAL PARTNERS, LLC (CRD# 34815)2016 - 2016 (<1 year)BADP BROKER-DEALER, INC. (CRD# 37693)2012 - 2015 (3 years)BDIVERSIFIED INVESTORS SECURITI... (CRD# 32205)2008 - 2011 (3 years)
Disclosure(s)
View By:
9/3/2022
Financial
Final
License(s)

State Registrations

B
Alaska 3/4/2025
B
Nevada 3/4/2025
B
Arizona 3/13/2025
B
New Mexico 3/14/2025
B
California 10/18/2023
B
New York 10/19/2023
IA
California 10/18/2023
B
Oregon 11/16/2023
B
Colorado 3/5/2025
B
Utah 3/5/2025
B
Hawaii 10/18/2023
B
Washington 3/4/2025
B
Idaho 3/5/2025
B
Wyoming 3/10/2025
B
Montana 3/7/2025

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Los Angeles, CA
Registered with this firm since 10/18/2023
B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
35 NORTH LAKE AVENUE SUITE 800, PASADENA, CA 91101
Los Angeles, CA
Registered with this firm since 10/17/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/29/2023 - 09/28/2023 GLOBAL RETIREMENT PARTNERS LLC (CRD#:172011) Los Angeles, CA
IA
 05/24/2023 - 09/18/2023 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) EL SEGUNDO, CA
B
 05/23/2023 - 09/18/2023 PRUCO SECURITIES, LLC. (CRD#:5685) EL SEGUNDO, CA
B
 03/27/2023 - 05/09/2023 LPL FINANCIAL LLC (CRD#:6413) PALOS VERDES, CA
IA
 08/04/2020 - 11/28/2022 EDWARD JONES (CRD#:250) REDONDO BEACH, CA
B
 07/13/2020 - 11/28/2022 EDWARD JONES (CRD#:250) REDONDO BEACH, CA
B
 09/12/2017 - 10/04/2017 MML DISTRIBUTORS, LLC (CRD#:38030) ENFIELD, CT
B
 01/25/2016 - 11/14/2016 VOYA FINANCIAL PARTNERS, LLC (CRD#:34815) WINDSOR, CT
B
 12/11/2012 - 12/31/2015 ADP BROKER-DEALER, INC. (CRD#:37693) ROSELAND, NJ
B
 08/19/2008 - 08/10/2011 DIVERSIFIED INVESTORS SECURITIES CORP. (CRD#:32205) HARRISON, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.