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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-04-24
TX RA APPROVED_RES 2011-08-16
MO RA APPROVED 2011-08-09
  • FL RA
    APPROVED
    Since 2018-04-24
  • TX RA
    APPROVED_RES
    Since 2011-08-16
  • MO RA
    APPROVED
    Since 2011-08-09

Branch Locations

12400 Olive Blvd Ste 305, St. Louis, MO 63141 • United States

Palm Beach Gardens, FL • United States

1892 Burleigh Blvd, Tavares, FL 32778 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Dennis Roodman - Insurance St. Louis MO 08/1989 Present
Integrated Financial Group Atlanta GA 02/2007 Present
Lpl Financial Llc Creve Coeur MO 08/2011 Present
  • 08/1989 → Present
    Dennis Roodman - Insurance
    St. Louis, MO
  • 02/2007 → Present
    Integrated Financial Group
    Atlanta, GA
  • 08/2011 → Present
    Creve Coeur, MO
Previous Registrations
  • 2006-11-10 → 2011-08-09
    Securities America Advisors, Inc.
    St Louis, MO
  • 2003-09-24 → 2006-11-10
    New England Securities
    St. Louis, MO
    St Louis, MO
  • 1995-10-31 → 2003-09-23
    Veravest Investment Advisors, Inc.
    Creve Coeur, MO
Other Businesses

(1)05/23/2011: NO BUSINESS NAME - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INTERGRATED FINANCIAL GROUP - INV REL - AT REPORTED BUSINESS LOCATION(S) - DBa for securities business (2)05/23/2011: NO BUSINESS NAME - Non-Variable Insurance - INV REL - AT REPORTED BUSINESS LOCATION(S) - FIXED INSURANCE SALES: FIXED, LIFE, HEALTH. LTC, DISABILITY, GROUP, INSURANCE - 10% TIME SPENT (3)06/13/2011: COMMONWEALTH ANNUITY AND LIFE - VA TRAILS - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - CONTINUE TO RECEIVE TRAILS AND SERVICE VAS WITH COMMONWEALTH ANNUITY AND LIFE CO. - 1% TIME SPENT (4)07/25/2011: INTERGRATED FINANCIAL GROUP OF ST. LOUIS - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - INV. REL. - AT REPORTED BUSINESS LOCATION(S) - LLC set up for the purpose of sharing office lease between LPL reps Morris Shank and Denny Roodman - 0% TIME SPENT - LLC set up for the purpose of sharing office lease between LPL reps

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-12-26
S63 Uniform Securities Agent State Law Examination 1989-08-28
  • S65 Uniform Investment Adviser Law Examination
    1995-12-26
  • S63 Uniform Securities Agent State Law Examination
    1989-08-28

View on SEC IAPD

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