| Advisor Profile |
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| Name: |
HECTOR RODRIGUEZ MBA, ChFC |
| Phone Number: |
(401) 848-4579 |
| Website: |
Visit Website
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About Rodriguez Wealth Management |
LPL Financial is one of the leading financial services companies and the largest independent broker/dealer in the nation*. For more than four decades, the firm has served as an enabling partner, supporting financial advisors in their goals of protecting and growing their clients? wealth. A chief objective of LPL Financial is to reduce the complexity of running a financial services practice so advisors can focus on what they do best help their clients attain their financial goals and fulfill their dreams.
With headquarters on both coasts, LPL Financial supports financial advisors in helping their clients by offering a robust mix of services and tools such as:
Enabling technology
Comprehensive clearing and compliance services
Practice management programs and training
Independent research
Thousands of financial advisors nationwide rely on LPL Financial to help meet their clients? financial needs. They do so by using the firm?s tools and resources that help them discover their clients? priorities, dreams, and passions; analyze and develop financial plans that support every stage of their clients? lives; and make product recommendations that put clients on the path to pursuing their goals. |
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General Information |
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| States Licensed in: |
AZ,CA,CT,FL,MA,MN,MO,NH,NJ,OR,RI,SC,TX,UT,WA
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| States Willing to do Business in: |
Southeastern Mass & Rhode Island
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| I work with the following types of clients: |
Non-Profit Organizations, Individual Investors, Businesses
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Services |
| Investment Types: |
Bonds, Stocks, Annuities, Insurance, Alternative Investments, Exchange Traded Funds (ETFs), Options & Futures, Mutual Funds
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| I can meet clients in the following ways: |
Via email, Via phone, At my office, At your home, Video Conference, At your office
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Chartered Financial Consultant (ChFC®)
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| Securities Licenses: |
Series 7, Series 65, Series 63
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| Insurance and Annuity Licenses: |
Annuity, Disability, Long Term Care, Variable Life, Variable Annuity, Life
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Compensation and Fees |
| Minimum Portfolio Size for New Managed Accounts: |
n/a
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| Prepared By: |
HECTOR RODRIGUEZ MBA, ChFC |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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For Financial Plans there is a refund policy. |
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| Q. |
Do you have a customer satisfaction or refund policy? |
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For Financial Plans there is a refund policy. |
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| Q. |
What are your qualifications? What is your education background? |
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I hold an MBA and ChFc & started the business in 1992. |
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What are your qualifications? What is your education background? |
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I hold an MBA and ChFc & started the business in 1992. |
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| Q. |
What is your approach to financial planning? |
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First and foremost is to listen and seek to understand my client. By understanding what is said and what is not said I am best able to devise a plan unique to your individual needs and circumstances. |
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What is your approach to financial planning? |
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First and foremost is to listen and seek to understand my client. By understanding what is said and what is not said I am best able to devise a plan unique to your individual needs and circumstances. |
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| Q. |
What services do you offer? |
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Full financial planning, Insurance review, Portfolio management, Insurance review, Estate planning, Educational planning and Retirement planning and income. |
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What services do you offer? |
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Full financial planning, Insurance review, Portfolio management, Insurance review, Estate planning, Educational planning and Retirement planning and income. |
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| Q. |
Will you be the only person working with me? |
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I have assistant's that help with the coordination of communication, operations management and meeting clients needs are expectations. |
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| Q. |
Will you be the only person working with me? |
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I have assistant's that help with the coordination of communication, operations management and meeting clients needs are expectations. |
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| Q. |
How are you compensated? How will I pay for your services? |
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For Financial Plans a fee may be involved. The fee is paid to me by LPL after I successfully deliver a plan. For Insurance and Annuity products I get paid a commission. A fee is usually charged for investment account management. |
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How are you compensated? How will I pay for your services? |
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For Financial Plans a fee may be involved. The fee is paid to me by LPL after I successfully deliver a plan. For Insurance and Annuity products I get paid a commission. A fee is usually charged for investment account management. |
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| Q. |
If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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I usually retain discretion on the buying and selling of Mutual Funds, UITS unless otherwise given in writing. I do not have discretion for buying and selling of individual securities. |
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If you are going to manage my account, will you obtain my permission every time you buy or sell something? |
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I usually retain discretion on the buying and selling of Mutual Funds, UITS unless otherwise given in writing. I do not have discretion for buying and selling of individual securities. |
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| Q. |
Do you offer any guaranteed results? |
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I can not guarantee results. I can offer my expressed willingness to look out for your best interest. |
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Do you offer any guaranteed results? |
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I can not guarantee results. I can offer my expressed willingness to look out for your best interest. |
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| Q. |
How much risk should I be willing to take? |
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That would be dependent on your individual circumstance's and needs. |
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| Q. |
How much risk should I be willing to take? |
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That would be dependent on your individual circumstance's and needs. |
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Have you ever been charged with any breaches? |
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Have you ever been charged with any breaches? |
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What services do you provide? What are your specialties? |
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I specialize in Retirement planning, Income planning and Estate planning. |
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What services do you provide? What are your specialties? |
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I specialize in Retirement planning, Income planning and Estate planning. |
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