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Paladin Research Report For:

Joe Roddy

West End Advisory Group

AIF®CFP®
4931 Lindell Blvd Ste 150
Saint Louis, MO 63108
314-880-7560

About Joe Roddy

Joe Roddy has been in the financial services industry since his early 20s. After working on financial transactions for large corporations, Joe decided he wanted to apply his skill and knowledge to meet the needs of the individual and small business owner, while at the same time creating his own business. He wanted long-term client relationships nurtured through trust that could not be developed in an environment emphasizing immediate transactions.

His association with LPL Financial gave him the flexibility to build just that kind of business. Through hard work, outstanding service and a reputation of fairness and integrity, he has built a solid client base and has expanded his business through referrals. In 2013, he opened West End Advisory Group in St. Louis' Central West End neighborhood.

While Joe works at integrating the many elements of financial planning and employee benefits, his greatest strengths are in investments, retirement planning, and wealth transfer for business owners. His interest in investments was sparked while in college when he first invested money saved from his job as an iron worker. The investment was a winner, and he was able to return to graduate school full time at Washington University, where he received his Masters in Business Administration.

Joe works diligently to increase his knowledge in this field and has been designated a Certified Financial Planner certificant, a title awarded only to those who are able to successfully complete a rigorous series of exams and are willing to abide by a strict ethical code.

Joe and his wife, Lisa, live in the Central West End near Forest Park, where Joe can often be found jogging.

See Disclosures

General Information

Firm Start Year
  • 2013
No. of Employees
  • 2-4
automated call
  • Yes
CRD#
  • 1112591
Firm CRD#
  • 6413
Name of Broker/Dealer
  • LPL Financial
States Licensed in
  • MO,IL,CA,FL,IN,TX
Years of Experience in Financial Services
  • 39
Number of Years with Current Firm
  • 12
Work with the following types of clients
  • Businesses, Individual Investors
Advisory Services Provided
  • Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Education Funding and Planning, Financial Planning for Individuals, Tax Advice and Services, Financial Planning for Businesses

Compliance

Registered Representative
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
Compliance Disclosures in Last 5 years
  • I have a clean record
Criminal Disclosures in Last 5 years
  • I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations
  • CFP®, AIF®
Securities Licenses
  • Series 7, Series 63, Series 66
Insurance and Annuity Licenses
  • Variable Life, Long Term Care, Variable Annuity, Life, Health, Annuity

Firm Information

Advisor's Number of Clients
  • 200+
Advisor's Number of Managed Clients
  • 70+
Advisor's Number of Planning Clients
  • 70+
Assets Managed by Advisor
  • $200,000,000+

Compensation and Fees

Fee Structure
  • Fee-Based
Minimum Portfolio Size for New Managed Accounts
  • $250,000
Compensation Methods
  • Flat Fee, Based on Assets
Additional Details on Charges
  • Our fees are based on the complexity of your unique financial needs and may vary accordingly.

Education

Bachelor of Science - Business Administration / Finance

University of Missouri
08/1976 -05/1980

Masters Degree - Finance

Washington University
06/1981 -12/1982

Disclosures

PaladinRegistry.com provides referrals to financial professionals of LPL Financial, LLC (LPL). PaladinRegistry.com is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay PaladinRegistry.com cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.


LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

Securities and advisory services offered through LPL Financial (LPL), a registered investment advisor and broker-dealer, member FINRA/SIPC (www.finra.org / www.sipc.org). Insurance products are offered through LPL or its licensed affiliates. The LPL Financial registered representatives associated with this website may discuss and/or transact business only with residents of the states in which they are properly registered or licensed. No offers may be made or accepted from any resident of any other state.