Michael Rodriguez, financial advisor Dallas TX
88 score

Michael Rodriguez

CRD Number: 1989658
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Michael Rodriguez (CRD# 1989658) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Dallas, TX and has over 20 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Dallas, TX Mar 2014 - Current 2
Wfg Investments, Inc. Dallas, TX Jan 2013 - Feb 2014 1
Eralya Inc. Dallas, TX Apr 2011 - May 2013 2
1st Global Capital Corp. Dallas, TX Mar 2003 - Oct 2012 9
1st Global Advisors, Inc. Dallas, TX Jul 2006 - Sep 2012 6
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1996
S66 NASAA Uniform Combined State Law Examination Aug 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Investigation
Get Details on the FINRA Advisor Check site
Contact Info for Michael A. Rodriguez
Phone Number: 800-637-7455
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
88

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