Individual Firm
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CARLOS ENRIQUE RODRIGUEZ
CARLOS RODRIGUEZ
CRD#: 5909186
IA
B
INDEPENDENT FINANCIAL PARTNERSCRD#: 125112 Miami, FL
IFP SECURITIES, LLCCRD#: 297287 Miami, FL
0
Disclosures
13
Years of Experience
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State Registrations
IA
California 1/3/2018
IA
North Carolina 1/6/2020
IA
Florida 4/5/2016
IA
Puerto Rico 5/5/2023
B
Florida 5/23/2019
IA
Virginia 10/4/2023
IA
Georgia 7/27/2021
SRO Registrations
B
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B
IA
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/21/2016 - 05/23/2019 | TAMPA, FL | |
B | 10/03/2011 - 01/26/2016 | CORAL GABLES, FL |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.