William J. Roddy

CASTLE HILL CAPITAL PARTNERS

New York, NY 10017

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CRD#: 1720242

Professional summary

William James Roddy, who also goes by William J Roddy, is a registered financial professional currently at CASTLE HILL CAPITAL PARTNERS, INC. located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1988. William has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

William J Roddy

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.

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CRS (Client Relationship Summary) - BD

Click below to view William James Roddy'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

May 4, 2018 - Present

CASTLE HILL CAPITAL PARTNERS, INC.

Office #1: 216 East 45th Street, Suite 1301, New York, NY 10017

CRD#: 44131

New York, NY

Past

July 9, 2013 - January 24, 2018

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

BOSTON, MA

Past

July 2, 2012 - June 14, 2013

VIRTU AMERICAS LLC

CRD#: 149823

BOSTON, MA

Past

June 18, 2010 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

BOSTON, MA

Past

August 27, 2007 - June 1, 2010

FORESIDE FUND SERVICES, LLC

CRD#: 46106

BOSTON, MA

Past

July 27, 1994 - July 5, 2007

WILLIAM BLAIR

CRD#: 1252

CHICAGO, IL

Past

September 22, 1992 - October 3, 1995

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

September 4, 1990 - November 4, 1992

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 21, 1988 - September 4, 1990

PRESCOTT, BALL & TURBEN, INC.

CRD#: 7656

State Registrations and Notice Filings

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

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

New York
(11/20/2022)

Exams

State Security Law Exam

Series 63

Date: 11/23/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/31/2006

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 5/23/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 3/12/1997

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CASTLE HILL CAPITAL PARTNERS, INC.

BOUCHEY & ASSOCIATES, INC. | CASTLE HILL CAPITAL PARTNERS, INC.

CRD#: 44131 / SEC#: , 8-50550

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

216 East 45th Street, Suite 1301, New York, NY 10017

Mailing Address

216 East 45th Street, Suite 1301, New York, NY 10017

Phone number

(212) 784-6104

Established

New York since 09/05/1997

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (40 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
SAUNDERS, ANDREW O'BRIEN	PRESIDENT	5690785
WEBSTER, GEOFFREY LEHMAN	PRINCIPAL OPERATING OFFICER, PRINCIPAL FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER	2561071

Red Flags

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Firm Stability Insights

William J. Roddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William James Roddy's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROBERT W. BAIRD & CO. INCORPORATED

VIRTU AMERICAS LLC

KNIGHT CAPITAL AMERICAS, L.P.

FORESIDE FUND SERVICES, LLC

WILLIAM BLAIR

CREDIT SUISSE SECURITIES (USA) LLC

WELLS FARGO CLEARING SERVICES, LLC

PRESCOTT, BALL & TURBEN, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/23/1988

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Series 10

Date: 5/31/2006

Series 9

Date: 5/23/2006

Series 24

Date: 3/12/1997

FINRA

Current Firm

CASTLE HILL CAPITAL PARTNERS, INC.

Contact information

FINRA licenses (40 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CASTLE HILL CAPITAL PARTNERS, INC.

TRUST BUT VERIFY

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