Daniel P. 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.
Daniel Patrick Roddy, who also goes by Daniel Patrick Roddy, Daniel P Roddy, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 12 firms and has passed the Series 66, Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 4, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2025 - September 25, 2025
CHARLES SCHWAB & CO., INC.
April 30, 2025 - September 25, 2025
CHARLES SCHWAB & CO., INC.
May 17, 2021 - March 26, 2025
EDWARD JONES
May 14, 2021 - March 26, 2025
EDWARD JONES
February 28, 2018 - January 11, 2021
TD AMERITRADE, INC.
February 26, 2018 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - January 11, 2021
TD AMERITRADE, INC.
April 5, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
May 29, 2008 - February 26, 2018
SCOTTRADE, INC.
November 30, 1998 - May 28, 2008
MURIEL SIEBERT & CO., LLC
October 23, 1997 - November 4, 1998
BNY MELLON SECURITIES CORPORATION
October 3, 1995 - November 26, 1996
MORGAN STANLEY DW INC.
February 24, 1995 - October 4, 1995
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
January 14, 1994 - February 8, 1995
CITIGROUP GLOBAL MARKETS INC.
September 21, 1992 - October 6, 1993
CHATFIELD DEAN & CO., INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/25/2006
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
