Robert W. Roddy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert William Roddy JR was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1984. Robert had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2006 - April 2, 2014
QA INVESTMENT SERVICES, LLC
February 18, 2000 - July 24, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
August 13, 1997 - November 3, 1998
OSAIC WEALTH, INC.
March 8, 1984 - July 22, 1997
PIPER SANDLER & CO.
State Registrations and Notice Filings
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Exams
Current Firm
QA INVESTMENT SERVICES, LLC
CRD#: 131762 / SEC#: 801-63455
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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