Troy D. 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.
Troy Darnell Roddy was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1996. Troy had worked at 12 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2023 - June 18, 2024
AMERITAS INVESTMENT COMPANY, LLC
April 3, 2017 - July 20, 2021
AMERITAS INVESTMENT COMPANY, LLC
January 26, 2016 - April 5, 2017
THE O.N. EQUITY SALES COMPANY
February 9, 2015 - October 8, 2015
HORNOR, TOWNSEND & KENT, LLC
September 12, 2013 - January 6, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 15, 2006 - November 28, 2011
W&S BROKERAGE SERVICES, INC.
September 8, 2005 - March 24, 2006
NYLIFE SECURITIES LLC
June 3, 2005 - August 18, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 31, 2005 - May 6, 2005
ALLSTATE FINANCIAL SERVICES, LLC
July 23, 2004 - February 23, 2005
SAMCO FINANCIAL SERVICES, INC.
June 22, 2001 - July 2, 2004
FORESTERS EQUITY SERVICES, INC.
September 6, 1996 - May 24, 2001
METROPOLITAN LIFE INSURANCE COMPANY
September 6, 1996 - May 24, 2001
MSI FINANCIAL SERVICES, INC.
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
Current Firm
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
