J

Jim Rodriguez's
email & phone

Opt-Out

Current Position:

OSJ - Office of Supervisory Principal - Senior Compliance Analyst at LPL Financial

Experience:

22 years

Location:

Houston, Texas

How to contact Jim Rodriguez

Last updated:2025-01-30
emailr***m@lpl.com
phone+1-480-***-**57
twitter
youtube
linkedin
facebook
google+

Work Experience

OSJ - Office of Supervisory Principal - Senior Compliance Analyst at LPL Financial

Mar 2023 - Current

Regional Supervisory Principal, Home Office Supervision (Remote) at LPL Financial

Jan 2018 - Jun 2023

OSJ Delegate/Compliance Officer at INC Advisors/LPL Financial at INC Advisors

Jan 2022 - Jun 2023

MUTUAL FUND PRINCIPAL at Insigneo

Aug 2017 - Dec 2017

MUTUAL FUNDS PRINCIPAL at GLOBAL INVESTOR SERVICES

Oct 2016 - Dec 2017

Branch Supervisor/Compliance/AML at GLOBAL INVESTOR SERVICES

Nov 2014 - Dec 2017

Branch Manager/Compliance at HB ASSET MANAGEMENT LIMITED

Nov 2014 - Dec 2017

Surveillance Supervisor at NEXT Financial Group

Oct 2013 - Nov 2014

Surveillance Analyst at NEXT Financial Group

Mar 2011 - Oct 2013

Licensed Financial Specialist at Wells Fargo

Jul 2008 - Mar 2011

Rental Branch Manager at Enterprise

Aug 2003 - Jan 2008

Education

B.A at Wabash College

International Studies - Study Abroad Program at Universitat de València

Master of Business Administration (M.B.A.) at DeVry University's Keller Graduate School of Management-Texas

Frequently Asked Questions

How long has Jim Rodriguez been working as a OSJ - Office of Supervisory Principal - Senior Compliance Analyst?

Jim Rodriguez's total experience in various companies as a OSJ - Office of Supervisory Principal - Senior Compliance Analyst 2 years 6 months.

What is Jim Rodriguez's minimum period of employment in the companies?

Jim Rodriguez's minimum period of employment in various companies is 4 months.

What is Jim Rodriguez's average duration of employment for different companies?

On average, Jim Rodriguez works for one company for 2 years 6 months

What industries has Jim Rodriguez worked in?

Jim Rodriguez works in the Financial Services. Previously, Jim Rodriguez worked in the Leisure, Travel & Tourism.

What positions has Jim Rodriguez held before?

Previously, Jim Rodriguez worked as a Regional Supervisory Principal, Home Office Supervision (Remote), and OSJ Delegate/Compliance Officer at INC Advisors/LPL Financial, and MUTUAL FUND PRINCIPAL, and MUTUAL FUNDS PRINCIPAL, and Branch Supervisor/Compliance/AML.

How do I contact Jim Rodriguez?

Jim Rodriguez's email address is r***m@lpl.com, phone number is +1-480-***-**57. Sign up to get contact details.

Who is the President & CEO of the LPL Financial?

The President & CEO of the LPL Financial is Dan Arnold
Not the Jim Rodriguez you were looking for?

Find email for 850M+ professionals

Jim Rodriguez Namesakes

Name
Company
Position
J
James T. Rodriguez Consulting Engineers, Inc.
President
J
Self employed
Electrician
J
Adisseo USA Inc. Formerly Nutriad Inc
Facility and Operations Manager
J
Oncorems
Shipping Supervisor
J
Operational Risk Manager
J
State of Nevada Budget Office
Executive Budget Officer
J
Director, Technology Development
J
VOIP & Data Center Infrastructure Project Manager
J
Pricing Partner, Pricing Team

Other employees at LPL Financial

Name
Company
Position
J
LPL Registered Client Relationship Manager
A
AVP - Analytics & Data Science
J
Sr. Design Engineer - DevOps & Infrastructure
J
Advisory Compliance Specialist
N
Vice President, Head of Crisis Management
BACK TO TOP