Walter J. Roderer

HARBOUR INVESTMENTS

Dayton, OH 45459

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CRD#: 1470148

Professional summary

Walter Joseph Roderer JR is a registered financial advisor currently at HARBOUR INVESTMENTS, INC. located in Dayton, Ohio.

Walter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Walter has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Joseph Roderer JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Walter Joseph Roderer JR's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 4, 2011 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 245 W. Elmwood Dr Suite 115, Dayton, OH 45459

RIA

CRD#: 19258

Dayton, OH

Current

May 31, 2011 - Present

HARBOUR INVESTMENTS, INC.

Office #1: 245 W. Elmwood Dr Suite 115, Dayton, OH 45459

RIA

CRD#: 19258

Dayton, OH

Past

June 30, 2009 - May 18, 2011

KIPLINGER WEALTH ADVISORS

RIA

CRD#: 116726

SPRINGBORO, OH

Past

June 5, 2009 - May 18, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

SPRINGBORO, OH

Past

February 15, 2005 - June 18, 2009

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

CENTERVILLE, OH

Past

May 10, 2004 - June 18, 2009

FIFTH THIRD SECURITIES, INC.

CRD#: 628

CENTERVILLE, OH

Past

December 7, 1999 - May 17, 2004

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

DAYTON, OH

Past

July 31, 1993 - May 17, 2004

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 4, 1988 - July 31, 1993

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 25, 1986 - July 22, 1988

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(7/15/2011)

Ohio
(6/21/2011)

IAR

Ohio
(10/4/2011)

West Virginia
(8/30/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/27/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/22/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/19/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

CRD#: 19258 / SEC#: 801-29185, 8-37373

RIA

Registered Investment Advisory firm - SEC (4/10/1987 Approved)

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Mailing Address

575 D'onofrio Drive Suite 300, Madison, WI 53719

Phone number

(608) 662-6100

Established

Wisconsin since 01/22/1987

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

231

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

INVESTMENT ADVISOR BROCHURE (10/2/2025)

Direct owners and executive officers

Name	Position	CRD#
SONDEL, NICK WILLIAM	CHIEF EXECUTIVE OFFICER	1261064
CONWELL, SCOTT OWEN	CHIEF COMPLIANCE OFFICER	4238913
DUSHEK, JAMES WALTER	VICE PRESIDENT OF OPERATIONS	4323103
HAGER, AARON MICHAEL	PRESIDENT	5017811
KOPITZKE, KYLE LEE	DIRECTOR OF TRANSITIONS & PARTNERSHIPS	5675560
MEDLAND, RICHARD ONEILL	DIRECTOR OF SUPERVISION	2748242
MEYER, RHONDA LEE	SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER, FINOP	2285226
NELLES, JULIE MARIE	VP OF ADVISORY OPERATIONS & SERVICES	4771824
WIPPERFURTH, DANIEL THOMAS	VICE PRESIDENT OF ADVISOR DEVELOPMENT	4029404

Regulatory assets under management

Total Number of Accounts	38,692
AUM (Assets Under Management)	$ 7,569,614,628

Disclosures

Regulatory Event	3
Bond	6

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Walter J. Roderer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Walter Joseph Roderer JR's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Walter Joseph Roderer JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOUR INVESTMENTS, INC.

KIPLINGER WEALTH ADVISORS

SECURITIES AMERICA, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

LEHMAN BROTHERS INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

HARBOUR INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/27/1992

Series 63

Date: 4/10/1987

SIE

Date: 10/1/2018

Series 3

Date: 8/22/1988

Series 7

Date: 4/19/1986

FINRA

Current Firm

HARBOUR INVESTMENTS, INC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

HARBOUR INVESTMENTS, INC.

TRUST BUT VERIFY

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