JoeRoddy- Financial Advisor Saint Louis, MO

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About Joe Roddy

By planning first, we demystify the complex interactions of investments, taxes, Social Security and other concerns that create indecision. We are local and independent, with access to global resources and cutting-edge technology. We believe in planning before investing, because knowing how much money you need--and when you will need it--are important determinants in your investment success.

See Disclosures

General Information

Firm Start Year

2013

No. of Employees

automated call

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

Number of Years with Current Firm

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

Investment Advisor Representative

Acknowledged fiduciary

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

Advisor's Number of Planning Clients

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.

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Paladin Research Report For:

Joe Roddy

West End Advisory Group