Sandie K. Rodda
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.
Sandie Kay Rodda, who also goes by Sandie K Rodda, was a registered financial professional .
Sandie is a previously registered financial professional and started their career in finance in 1999. Sandie had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2023 - April 22, 2025
ALLIANZ LIFE FINANCIAL SERVICES, LLC
January 22, 2020 - June 30, 2023
MORNINGSTAR INVESTMENT MANAGEMENT LLC
January 3, 2020 - June 30, 2023
MORNINGSTAR INVESTMENT SERVICES LLC
May 19, 2016 - June 1, 2018
INVESCO ADVISERS, INC.
April 19, 2016 - June 1, 2018
INVESCO DISTRIBUTORS, INC.
November 27, 2013 - March 5, 2015
NEXPOINT SECURITIES, INC.
November 12, 2012 - December 31, 2013
NEXBANK SECURITIES INC
June 1, 2009 - November 7, 2012
MORGAN STANLEY
June 1, 2009 - November 7, 2012
MORGAN STANLEY
April 2, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 21, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 24, 2005 - March 14, 2007
VANGUARD MARKETING CORPORATION
July 16, 2001 - December 31, 2003
RITTENHOUSE ASSET MANAGEMENT, INC.
July 16, 2001 - May 4, 2004
NUVEEN FUND ADVISORS, LLC
September 24, 1999 - May 6, 2004
NUVEEN SECURITIES, LLC
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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
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.
