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Detailed Report
Marc Rodriguez
MARC A RODRIGUEZ
CRD#: 6734831
IA
Investment Adviser
B
Broker
MORGAN STANLEYCRD#: 149777 55 South Lake Avenue Pasadena Towers - Tower II
Suite 700
Pasadena, CA 91101
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2019 (2 years)2 FIRMS2019 - Present (5 years)
License(s)

State Registrations

B
Arizona 11/13/2019
B
Nevada 11/15/2019
B
Arkansas 11/13/2019
B
New Hampshire 1/11/2022
B
California 11/8/2019
B
New York 12/22/2023
IA
California 11/8/2019
B
North Carolina 11/18/2019
B
Connecticut 8/6/2024
B
Ohio 11/19/2019
B
Florida 3/30/2023
B
Oregon 11/18/2019
B
Hawaii 11/5/2021
B
Tennessee 11/19/2019
B
Idaho 11/20/2019
B
Texas 11/15/2019
B
Illinois 8/1/2023
IA
Texas 4/8/2020
B
Kansas 11/21/2019
B
Utah 1/15/2025
B
Louisiana 12/11/2020
B
Virginia 11/18/2019
B
Minnesota 1/12/2023
B
Washington 11/19/2019
B
Missouri 11/15/2019

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
456 WEST FOOTHILL BLVD, CLAREMONT, CA 91711
Registered with this firm since 11/8/2019
B
MORGAN STANLEY (CRD#:149777)
55 South Lake Avenue Pasadena Towers - Tower II Suite 700, Pasadena, CA 91101
456 WEST FOOTHILL BLVD, CLAREMONT, CA 91711
Registered with this firm since 11/8/2019
Previous Registration(s)
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IA
 09/28/2017 - 10/28/2019 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) GLENDORA, CA
B
 01/17/2017 - 10/28/2019 UNIONBANC INVESTMENT SERVICES, LLC (CRD#:14455) GLENDORA, CA
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.