Joseph Dennis Roddy

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

• 09/2013 → 06/2021
  Cetera Advisor Networks Llc
  El Segundo, CA
• 07/2009 → 07/2017
  Paramount Financial Llc
  St. Louis, MO
• 12/1994 → Present
  Oracle Financial Inc
  St Louis, MO
• 06/2021 → Present
  Lpl Financial Llc
  Saint Louis, MO

Previous Registrations

• 2014-01-27 → 2021-07-01
  Cetera Wealth Services, Llc
  St. Louis, MO
• 2009-10-27 → 2018-07-31
  Paramount Financial Llc
  St. Louis, MO
  St. Louis, MO
• 2004-08-03 → 2013-09-05
  Walnut Street Securities, Inc.
  New York, NY
  St. Louis, MO
  St Louis, MO
• 2008-02-01 → 2010-03-16
  Polaris Retirement Advisors, Inc.
  St. Louis, MO
• 2002-04-15 → 2004-08-03
  Polaris Capital Advisors Inc
• 2002-04-15 → 2003-07-25
  Polaris Capital Advisors Inc
  St. Louis, MO

Other Businesses

1) 6/2021- Oracle Financial inc- Non-Variable Insurance- Agent selling life, health, disability, fixed annuities and long term care- Inv. Related- St. Louis, MO - start date 1992- 1hr/mth 2) 6/2021- West End Advisory Group- DBA for LPL Business (entity for LPL business)- Inv. Related- St. Louis, MO start date 4/16/2013

Exams

• S66 Uniform Combined State Law Examination
  2004-08-25
• S63 Uniform Securities Agent State Law Examination
  1983-05-25

Designations

• Certified Financial Planner