Keith E. 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.
Keith Ellis Roddy was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1992. Keith had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2024 - April 30, 2026
ULTIMUS FUND DISTRIBUTORS, LLC
June 30, 2021 - November 3, 2022
D.H. HILL SECURITIES, LLLP
June 21, 2012 - April 7, 2020
SECURITY DISTRIBUTORS
April 14, 2010 - July 26, 2010
EDWARD JONES
March 1, 2010 - July 26, 2010
EDWARD JONES
April 29, 2009 - March 29, 2010
THE MUTUAL FUND STORE
April 18, 1994 - May 30, 2008
GUARDIAN INVESTOR SERVICES LLC
June 22, 1992 - November 8, 1993
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ULTIMUS FUND DISTRIBUTORS, LLC
CRD#: 104177 / SEC#: , 8-52643
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
