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
Riquelmi G Rodriguez
Ricky Rodriguez, Riquelmi Guadalupe Rodriguez, Riquelmi Rodriguez, Riquelmi Rodriquez
CRD#: 7007335
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 10301 SE Stark St
PORTLAND, OR 97216
Registration History
2018201920202021202220232024202520262 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BEDWARD JONES (CRD# 250)2019 - 2020 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2018 - 2019 (<1 year)IAEDWARD JONES (CRD# 250)2020 - 2020 (<1 year)
License(s)

State Registrations

B
Arizona 12/11/2024
IA
Oregon 12/8/2023
B
California 12/11/2024
B
Texas 12/8/2023
B
Idaho 12/21/2023
IA
Texas 12/8/2023
B
Maine 3/12/2025
B
Washington 12/21/2023
B
Oregon 12/8/2023

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe C2 Exchange, Inc.
B
 Cboe EDGA Exchange, Inc.
B
 Cboe EDGX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Investors' Exchange LLC
B
 Long-Term Stock Exchange, Inc.
B
 MEMX LLC
B
 MIAX Emerald, LLC
B
 MIAX PEARL, LLC
B
 MIAX Sapphire
B
 Miami International Securities Exchange, LLC
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 NYSE National, Inc.
B
 Nasdaq BX, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq MRX, LLC
B
 Nasdaq PHLX 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
J.P. MORGAN SECURITIES LLC (CRD#:79)
10301 SE Stark St, PORTLAND, OR 97216
14700 SE DIVISION ST., PORTLAND, OR 97236
Registered with this firm since 12/8/2023
B
J.P. MORGAN SECURITIES LLC (CRD#:79)
10301 SE Stark St, PORTLAND, OR 97216
14700 SE DIVISION ST., PORTLAND, OR 97236
Registered with this firm since 12/8/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 04/27/2022 - 12/06/2023 KEY INVESTMENT SERVICES LLC (CRD#:136300) Lake Oswego, OR
B
 04/27/2022 - 12/06/2023 KEY INVESTMENT SERVICES LLC (CRD#:136300) Lake Oswego, OR
IA
 07/19/2021 - 04/19/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) LAKE OSWEGO, OR
B
 07/15/2021 - 04/19/2022 MML INVESTORS SERVICES, LLC (CRD#:10409) LAKE OSWEGO, OR
IA
 01/27/2020 - 09/01/2020 EDWARD JONES (CRD#:250) SANDY, OR
B
 11/25/2019 - 09/01/2020 EDWARD JONES (CRD#:250) SANDY, OR
B
 09/28/2018 - 07/24/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) GRESHAM, OR
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.