Jim Rodriguez
OSJ - Office of Supervisory Jurisdiction - Senior Compliance Analyst at LPL Financial/INC Advisors
- Role
- Osj - Office of Supervisory Principal - Senior Compliance Analyst at LPL Financial
- Location
- Houston, TX, US
- LinkedIn followers
- 500 followers
OperationsView LinkedIn profile
About Jim Rodriguez
FINRA Licenses: Series 4 - Registered Options Principal (OP) Series 7 -…
Experience
Osj - Office of Supervisory Principal - Senior Compliance Analyst
Mar 2023 — Present · US
Education
Keller Graduate School of Management of DeVry University
Master of Business Administration (M.B.A.), Finance, General
2006 — 2010
University of Valencia
International Studies - Study Abroad Program, International Economics
1998 — 1998
Wabash College
B.A, Economics
1995 — 1999
Skills
- Series 7
- Series 63
- Mutual Funds
- Securities
- Finra
- Series 24
- Investment Advisory
- Uniform Combined State Law
- Investments
- Equities
- Asset Management
- Fixed Income
- Series 65
- Financial Services
- Portfolio Management
- Risk Management
- Wealth Management
- Strategic Financial Planning
- Banking
- Financial Risk
- Alternative Investments
- Insurance
- Retirement Planning
- Fixed Annuities
- Etfs
- Finance
- Financial Planning
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