Kurt A. Roddy
Professional summary
Kurt A. Roddy, who also goes by Kurt Andrew Roddy, is a registered financial advisor currently at PLANMEMBER SECURITIES CORPORATION located in Gig Harbor, Washington.
Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Kurt has worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Kurt A. Roddy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kurt A. Roddy's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
April 4, 2022 - Present
PLANMEMBER SECURITIES CORPORATION
May 20, 2021 - April 8, 2022
SECURITIES AMERICA ADVISORS, INC.
November 6, 2020 - April 8, 2022
ARBOR POINT ADVISORS
November 6, 2020 - April 8, 2022
SECURITIES AMERICA, INC.
January 2, 2018 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
January 2, 2018 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
September 30, 2011 - January 2, 2018
FSIC
September 30, 2011 - January 2, 2018
FSIC
January 16, 2008 - October 3, 2011
USA FINANCIAL SECURITIES LLC
January 16, 2008 - October 3, 2011
USA FINANCIAL SECURITIES LLC
October 31, 2007 - January 4, 2008
PAULSON INVESTMENT COMPANY LLC
October 31, 2007 - January 4, 2008
PAULSON INVESTMENT COMPANY LLC
July 30, 2007 - November 5, 2007
INVESTMENT MANAGEMENT CORPORATION
January 18, 2006 - July 25, 2007
KEY INVESTMENT SERVICES LLC
January 18, 2006 - July 25, 2007
KEY INVESTMENT SERVICES LLC
March 1, 2005 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
February 25, 2005 - January 18, 2006
KEYBANC CAPITAL MARKETS INC.
May 2, 2001 - April 4, 2002
WELLS FARGO INVESTMENTS, LLC
March 2, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
November 25, 1998 - February 20, 2001
U.S. BANCORP INVESTMENTS, INC.
July 19, 1996 - October 27, 1998
WMA SECURITIES, INC.
May 13, 1994 - June 24, 1996
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2022)
(4/4/2022)
(4/4/2022)
(9/5/2025)
(12/14/2023)
(8/11/2025)
(4/4/2022)
(9/29/2023)
(12/12/2023)
(4/4/2022)
(4/4/2022)
(12/11/2023)
Exams
FINRA
Current Firm
PLANMEMBER SECURITIES CORPORATION
CRD#: 11869 / SEC#: 801-39177, 8-25065
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PLANMEMBER FINANCIAL CORPORATION | OWNER | |
| BOWMAN, BYRON FRANCIS | CHIEF LEGAL OFFICER & SECRETARY | 2673117 |
| HALEY, SEAN PATRICK | CHIEF COMPLIANCE OFFICER | 2837579 |
| HANSON, STEVEN R | CHIEF FINANCIAL OFFICER / FINOPS | 4854600 |
| JANEWAY, TERRALL JOSEPH | EVP/CHIEF OPERATING OFFICER | 2947154 |
| ZIEHL, JON MICHAEL | PRESIDENT | 707642 |
Regulatory assets under management
| Total Number of Accounts | 68,978 |
| AUM (Assets Under Management) | $ 9,035,509,268 |
Disclosures
| Regulatory Event | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/21/2022 | ||
| 12/21/2022 |
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.
