Unclaimed Profile

Jose L Rodriguez

CETERA INVESTMENT MANAGEMENT LLC·EL SEGUNDO, California

SIE, Series 7, Series 24, Series 53, Series 63, Series 65Clean record19 years registeredCETERA INVESTMENT MANAGEMENT LLC

200 N. PACIFIC COAST HIGHWAY, EL SEGUNDO, CA 90245CRD# 2310126Firm CRD# 165436

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Jose L Rodriguez · EL SEGUNDO, CA

Registration

CRD #2310126 · CETERA INVESTMENT MANAGEMENT LLC · 19 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CETERA INVESTMENT MANAGEMENT LLC

FIRST ALLIED SECURITIES, INC.

Mar 2018 – Jun 2018

SAN DIEGO, CA

CETERA INVESTMENT MANAGEMENT LLC

Nov 2015 – Oct 2018

San Diego, CA

FIRST ALLIED ADVISORY SERVICES, INC.

Oct 2010 – Oct 2018

SAN DIEGO, CA

FIRST ALLIED SECURITIES, INC.

Jan 2007 – Aug 2012

SAN DIEGO, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 53

Series 63

Series 65

Registration record

First registered · January 26, 2007

Years registered · 19

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CETERA INVESTMENT MANAGEMENT LLC

CRD 165436 · SEC 801-77403

Employees

Total firm employees

Services offered by CETERA INVESTMENT MANAGEMENT LLC

Per Form ADV

Other

View all advisors at CETERA INVESTMENT MANAGEMENT LLC →

Introduction

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Frequently Asked Questions

What services does Jose L Rodriguez offer?

Jose L Rodriguez is a registered financial advisor in EL SEGUNDO, California.

What are Jose L Rodriguez's credentials?

Jose L Rodriguez is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Jose L Rodriguez located?

Jose L Rodriguez is based in EL SEGUNDO, California, last registered with CETERA INVESTMENT MANAGEMENT LLC.

How does Jose L Rodriguez charge for services?

Jose L Rodriguez's firm is compensated through other: no compensation received. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CETERA INVESTMENT MANAGEMENT LLC?

CETERA INVESTMENT MANAGEMENT LLC has approximately 24 employees. The firm is registered with the SEC as an investment adviser.

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