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Karen Rodriguez

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Red Bank, NJCRD #2947262Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
22 yrs
States Registered
18 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 18 states
ArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaMarylandMassachusettsNevadaNew JerseyNew YorkNorth CarolinaPennsylvaniaTexasVirginiaWashington
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/30/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 2/9/2015
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/16/2015

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
7/1/2016Red Bank, NJ
J.P. MORGAN SECURITIES LLC
1/16/20155/23/2016New York, NY
J.P. MORGAN SECURITIES INC.
10/1/20084/24/2009New York, NY
J.P. MORGAN SECURITIES INC.
5/4/200410/1/2008New York, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
9/16/19995/5/2003New York, NY
ABN AMRO INCORPORATED
2/19/19988/31/1999Stamford, CT
BZW SECURITIES INC.
11/25/19971/23/1998New York, NY

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Karen Rodriguez has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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