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DR

Dory A. Rodriguez

APOLLON FINANCIAL
Downers Grove, IL 60515
Some features on this profile are disabled
CRD#: 4400437
DR

Professional summary

Dory Ann Rodriguez, CFP®, who also goes by Dory Ann Rodriguez Cfp, Dory A Solzman, Dory Ann Solzman, Dory A Surgit, Dory Ann Surgit, is a registered financial advisor currently at APOLLON FINANCIAL, LLC located in Downers Grove, Illinois and LPL FINANCIAL LLC located in Downers Grove, Illinois.

Dory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Dory has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Dory Ann Rodriguez Cfp | Dory A Solzman | Dory Ann Solzman | Dory A Surgit | Dory Ann Surgit

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dory Ann Rodriguez's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 2012

Experience

Current

January 6, 2025 - Present

APOLLON FINANCIAL, LLC

Office #1: 2001 Butterfield Road Suite 800, Downers Grove, IL 60515
RIA
CRD#: 321217
Downers Grove, IL
Current

December 19, 2012 - Present

LPL FINANCIAL LLC

Office #1: 2001 Butterfield Rd Ste 1000, Downers Grove, IL 60515
RIA
BD
CRD#: 6413
DOWNERS GROVE, IL
Past

December 17, 2021 - January 16, 2025

HIGHPOINT PLANNING PARTNERS

RIA
CRD#: 316636
Oak Park, IL
Past

January 17, 2013 - December 31, 2021

HIGHPOINT PLANNING PARTNERS

RIA
CRD#: 163768
Lisle, IL
Past

September 24, 2001 - December 20, 2012

SECURIAN FINANCIAL SERVICES, INC.

RIA
CRD#: 15296
OAKBROOK, IL
Past

June 21, 2001 - December 20, 2012

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
OAKBROOK, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AF
APOLLON FINANCIAL, LLC
APOLLON FINANCIAL, LLC | FOXEN FINANCIAL AN AFFILIATE OF APOLLON FINANCIAL

CRD#: 321217 / SEC#: 801-125787

RIA
Registered Investment Advisory firm - (6/2/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(11/9/2016)
RR
California
(3/22/2013)
RR
Colorado
(3/3/2015)
RR
Florida
(10/9/2020)
RR
Illinois
(12/19/2012)
IAR
Illinois
(1/6/2025)
RR
Indiana
(8/4/2016)
RR
Minnesota
(1/9/2013)
RR
Missouri
(6/1/2023)
RR
Montana
(6/2/2017)
IAR
New Hampshire
(7/9/2025)
RR
North Carolina
(9/12/2016)
RR
Pennsylvania
(9/8/2020)
RR
Texas
(12/19/2012)
RR
Virginia
(10/17/2014)
RR
Wisconsin
(10/17/2013)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/5/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
APOLLON FINANCIAL, LLC
APOLLON FINANCIAL, LLC | FOXEN FINANCIAL AN AFFILIATE OF APOLLON FINANCIAL

CRD#: 321217 / SEC#: 801-125787

RIA
Registered Investment Advisory firm - (6/2/2022 Approved)
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Contact information

Main Address
111 Coleman Blvd Suite 402, Mount Pleasant, SC 29464
Mailing Address
Phone number
(843) 579-0018
Established
Firm type
Fiscal year end
# of Employees
23

SEC notice filing (22 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APOLLON FINANCIAL ADV PART 2A DISCLOSURE BROCHURE (1/22/2026)
APOLLON FINANCIAL WRAP FEE BROCHURE (9/17/2025)

Regulatory assets under management

Total Number of Accounts1,700
AUM (Assets Under Management)$ 890,408,924

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.

Company Information

APOLLON FINANCIAL, LLC

CRD#: 321217Downers Grove, IL 60515

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