Sergio Rodriguez

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Rodriguez (Rodriguez), currently associated with Cetera Wealth Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on April 03, 2026.

Customer purchased a market-linked CD in January of 2018. Customer now alleges MLCD was misrepresented to her both in maturity date and interest payment terms.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sergio Rodriguez (Rodriguez), previously associated with Kovack Securities INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Rodriguez recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on December 30, 2020.

: Time frame: Unspecified\<char_lb_r>\, \<char_lb_r>\, Allegations: Claimants allege their investments in Puerto Rico closed-end funds were unsuitable, over-concentrated, and misrepresented as safe investments.

Articles Tagged with Sergio Rodriguez

There are Recent Customer Complaints with Broker Sergio Rodriguez in Firm Cetera Wealth Services, LLC

Broker Sergio Rodriguez in Kovack Securities INC. Firm Has Customer Complaint