Jim Rodriguez

Jim Rodriguez is an accomplished compliance professional with extensive experience in the financial services industry. Currently serving as a Senior Compliance Analyst at LPL Financial since January 2018, Jim oversees advisor compliance and investigates suspicious practices while facilitating training and communication between various stakeholders. Previous roles include positions at INC Advisors and Insigneo Financial Group, where Jim focused on mutual fund sales practices and compliance. Jim has held several supervisory positions, including Branch Manager and Compliance Officer, demonstrating strong leadership and the ability to ensure adherence to regulatory standards across various firms. Educated with a B.A. in Economics from Wabash College and an M.B.A. in Finance from Keller Graduate School of Management, Jim combines strong analytical skills with a commitment to compliance and advisor development.