Richard Rodriguez, financial advisor The Villages FL
71 score

Richard Rodriguez

CRD Number: 2973254
Current Firm: Concorde Asset Management, LLC

Richard Rodriguez (CRD# 2973254) is an Investment Advisor Representative working at Concorde Asset Management, LLC in The Villages, FL and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Concorde Asset Management, LLC Troy, MI Jun 2012 - Current 4
Concorde Investment Services, LLC Troy, MI Mar 2012 - Current 4
Rxr Capital Arlington Heights, IL Aug 2011 - Current 5
World Equity Group Schaumburg, IL Jan 2011 - Mar 2012 1
Cima Financial Schaumburg, IL Jan 2011 - Jul 2011 < 1
Summit Brokerage Services Elgin, IL Aug 2010 - Jan 2011 < 1
Summit Financial Group Elgin, IL Aug 2010 - Jan 2011 < 1
Chase Investment Sercices Corp Chicago, IL May 2008 - Aug 2010 2
Jp Morgan Chase Chicago, IL May 2008 - Aug 2010 2
Ascensus Ventures, LLC Madison, WI Apr 2006 - Aug 2010 4
Wextrust Securities LLC Norfolk, VA Nov 2007 - May 2008 < 1
Charles Schwab Bank N.a. Madison, WI Feb 2005 - Oct 2007 2
Charles Schwab & Company, Inc. Madison, WI Apr 2004 - Oct 2007 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Feb 1998
S65 NASAA Investment Advisors Law Examination May 1998
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:
  • Financial Issue
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard A. Rodriguez
Phone Number: 248-824-6710
Registered State(s):
  • FL
  • IL
By the Numbers
  • Total Assets Under Management
    236
    MILLIONS
  • Total Number of Accounts
    2,048
    ACCOUNTS
  • Average Account Value
    $114,992
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, FL, GA, HI, IA, IL, IN, KS, KY, MA, MD, MI, MN, MO, NC, ND, NE, NH, NJ, NV, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI

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BADGES
71

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