Adviser and broker representative · Principal Securities, Inc.
Roberto A. Rodriguez
CRD 4195742 · Des Moines, IA
At a glance
Roberto A. Rodriguez is an investment adviser representative with Principal Securities, Inc. in Des Moines, IA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Roberto’s SEC record dates to 2003, about 23 years ago. Roberto is also registered as a broker representative.
Current advisory firm
- Principal Securities, Inc.Since April 2023Des Moines, IA · $17B in regulatory assets
SEC adviser record
- Registered since
- 2003 (23 years)
- Designations
- None on file
- Exams
- Series 63, Series 66
- Registered in
- 2 states
- Also a broker representative
- Yes
- Disclosures on record
- Yes, see the SEC record
AtlasMembers
Roberto’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 7 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.