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Jesse Rodriquez

Rodriquez Wealth Management

620 Newport Center Dr.
Suite 680

Newport Beach, CA 92660

949-688-1571

About Rodriquez Wealth Management

Rodriquez Wealth Management serves discerning individuals and families seeking a high level of customized, unbiased, and objective advice in today's challenging financial markets. We serve clients in many states across the country, and we understand the needs of clients in various stages of life. We advise clients on building, preserving, and transferring wealth in a tax-effective manner to heirs. Our team welcomes the opportunity to discuss our approach confidentially with qualified investors. We offer a complimentary second opinion and in-depth analysis to prospective clients with a minimum of $1,000,000 in investable assets. For existing clients, we reserve the right to waive this amount for family members.

General Information

Firm Start Year

2020

No.of Employees

2-4

CRD#

2666294

Firm CRD#

11025

Insurance License#

CA 0C87490

Name of Broker/Dealer

Wells Fargo Advisors FiNet

Name of Custodial Firm

Wells Fargo Advisors

States Licensed in

AR, AZ, CA, CO, FL, ID, IL, IN, MO, MS, MT, NC, NJ, NM, NV, NY, OK, PA, SC, SD, TN, TX, UT, VA, WA

Years of Experience in Financial Services

25

Number of Years with Current Firm

1

Work Experience

1995-2006 Smith Barney. First Vice President-Investments 2006-2011 Merrill Lynch. Senior Vice President-Wealth Management 2011-2020 UBS. Managing Director-Wealth Management 2020-Present Rodriquez Wealth Management. President

I work with the following types of clients

Businesses, Individual Investors, Non-Profit Organizations

Foreign Languages Serviced

English only

Services

Investment Types

Mutual Funds, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Stocks, Annuities, Insurance, Socially Responsible Investments (SRI)

I can meet clients in the following ways

Via Phone, At my office, At your home, At your office, Video Conference, Via Email

Compliance

Registered Representative

Yes

I am an acknowledged fiduciary

Yes

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CFP®, CDFA®, CPWA, CRPC

Securities Licenses

Series 66, Series 65, Series 63, Series 24, Series 31, Series 7

Insurance and Annuity Licenses

Annuity, Life, Variable Life, Long Term Care, Variable Annuity

Firm Information

Firm's Number of Clients

150

Firm's Number of Planning Clients

150

Firm's Number of Managed Clients

150

Assets Managed by Firm

400,000,000

Advisor's Number of Clients

150

Advisor's Number of Managed Clients

150

Advisor's Number of Planning Clients

150

Assets Managed by Advisor

$400,000,000

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

1,000,0000

Fee % Based on Assets

.75 to 2%

Additional Details on Charges

Fees are determined by how complex client situation is along with the size of the relationship.

Minimum Fee Charged for Managed Accounts

$5000

Education

Bachelor of Science - Finance

California State University Long Beach
1993 - 1996

Disclaimer

Investment and Insurance Products Are: NOT FDIC Insured NO Bank Guarantee MAY Lose Value Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN). Wells Fargo Advisors is the trade name used by Wells Fargo Clearing Services, LLC and WFAFN, Member SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. Rodriquez Wealth Management is a separate entity from WFAFN. A note about Social Media: Opinions, comments and actions taken on Social Media are those of the third party and do not necessarily reflect the views of the creator of this profile or of the firm. Social Media is intended for U.S. residents only and subject to the following terms: wellsfargoadvisors.com/social. Links to third-party websites are provided for your convenience and information purposes only. Wells Fargo Advisors is not responsible for the information contained on third party websites Privacy Policy | Legal Disclosures | Security | Member SIPC