Rodney Keith Dooley

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1997 → Present
  Dooley & Co, Llc
  Lexington, SC
• 09/2013 → 01/2025
  Cetera Advisor Networks Llc
  El Segundo, CA
• 06/2023 → 01/2025
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/2025 → Present
  Lpl Financial Llc
  Lexington, SC
• 08/2004 → Present
  Carolina Wealth Management
  Lexington, SC

Previous Registrations

• 2023-06-29 → 2025-02-06
  Cetera Investment Advisers Llc
  Lexington, SC
  Lexington, SC
• 2015-04-23 → 2023-06-29
  Cetera Wealth Services, Llc
  Lexington, SC
  Lexington, SC
• 2006-03-02 → 2008-12-31
  Carolina Wealth Management, Llc
  Columbia, SC

Other Businesses

1- 01/2025 / Carolina Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / 50 hrs mth / 2 hrs during trading / At reported business location(s) 2- 01/2025 / Dooley and Company, LLC / Tax Prep/Accounting/CPA / Investment Related / 160 hrs mth / 8 hrs during trading / Lexington, SC / Start date: 01/01/1999 3- 01/2025 / Jewitte Dooley, Law, LLC / Outside/W-2 Employment / Not Investent Related / Start date: 09/01/2014 4- 01/2025 / Lexington Farm and Timber, LLC / Business Owner / Not Investment Related / 2 hrs mth / Start date: 10/01/2022 5- 01/2025 / 2228 Santee, LLC / Real Estate Rental / Investment Related / 1 hr mth / Columbia, SC / Start date: 05/01/2007 6- 01/31/2025- Darryl Farmer Revocable Trust- Act in a Fiduciary Capacity- INV Related- At Reported Business Location(s)- Start date 10/08/2024- 8 Hours Per Month- 1 Hour During Trading 7- 01/31/2025- Personally borrowed to Fund interest in Dooley & Company, LLC- Borrower of a Loan- Not INV Related- At Reported Business Location(s)- Start date 01/01/2021- 100 Hours Per Month- 5 Hours During Trading 8- 01/31/2025- Taxesquire, LLC- Real Estate Rental- INV Related-At Reported Business Location(s)- Start date 10/01/2022- 4 Hours Per Month

Exams

• S66 Uniform Combined State Law Examination
  2004-12-02

Designations

• Personal Financial Specialist

Other Names

• Rod Dooley
• Rodney Keith Dooley Jr