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Chief Compliance Officer · Cetera Investment Management LLC

Jose L. Rodriguez

CRD 2105127 · Named on Form ADV at one SEC-registered adviser

At a glance

Cetera Investment Management LLC, an SEC-registered asset manager based in Schamburg, IL with $0 in regulatory assets, lists Jose L. Rodriguez on its Form ADV as Chief Compliance Officer.

Firms and roles

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Jose’s stakes and control

What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.

Ownership stake at the firm
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Control-person status
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When each role began
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Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.

Colleagues named on the same filings (13)

8 more people named with Jose on the same filings, with titles and firms. Free in Atlas with a free account.

See all 13 free

Something wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Jose’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.