James C. 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.
James Craig Roddy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 13 firms and has passed the Series 65, Series 63, Series 31 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
October 5, 2015 - December 31, 2017
THE STALWART GROUP LLC
January 26, 2015 - July 15, 2015
ARTIFEX FINANCIAL GROUP, LLC
May 19, 2014 - May 11, 2015
THE STALWART GROUP LLC
February 15, 2012 - December 31, 2012
POMEROY-RODDY & ASSOCIATES, LLC
May 25, 2010 - January 6, 2012
MERIDIAN WEALTH MANAGEMENT, LLC
April 27, 2009 - July 27, 2009
STRATEGIC INSTITUTIONAL CONSULTING GROUP, LLC
November 1, 2004 - October 20, 2006
DEAN FINANCIAL SERVICES
July 23, 2003 - October 20, 2006
2480 SECURITIES LLC
March 18, 2003 - October 20, 2006
DEAN INVESTMENTS
December 12, 2000 - February 25, 2003
LEGG MASON WOOD WALKER, INCORPORATED
December 14, 1994 - January 5, 2001
WELLS FARGO CLEARING SERVICES, LLC
September 28, 1989 - December 6, 1994
MORGAN STANLEY DW INC.
February 22, 1988 - October 21, 1989
UBS FINANCIAL SERVICES INC.
August 19, 1986 - March 2, 1988
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Exams
Current Firm
THE STALWART GROUP LLC
CRD#: 170578 / SEC#:
Contact information
Red Flags
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