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.
1) 12/12/2012 - Leaders Partners, Inc.-Investment Related - Non-Variable Insurance . 2) 04/15/2013 - HighPoint Planning Partners - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - 0 Hrs/Mth - 0 Hrs During Trading. 3) 8/27/2013: NON-VARIABLE INSURANCE - PRINCIPAL FINANCIAL - DISABLITY INSURANCE SALES. - TIME SPENT 15% - DOWNERS GROVE, IL. 4) 08/08/2014 - HighPoint Advisor Group, LLC - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:07/15/2014 - 80 Hrs/Mth - 40 Hrs During Trading. 5) 08/08/2014 - HighPoint Planning Partners, LLC - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - Start Date:07/15/2014 - 80 Hrs/Mth - 40 Hrs During Trading. 6) 08/14/2014 - HighPoint Advisor Group DBA HighPoint Planning Partners - Investment Related - Non-Variable Insurance - At Reported Business Location(s) - Start Date:07/15/2014 - 80 Hrs/Mth - 40 Hrs During Trading. 7) 02/26/2016 - Dory A Rodriguez, Inc - NOT INV REL - 925 S Taylor Ave, Oak Park, IL 60304 - START 12/20/12 - Entity for Business Operations; Holding Company for managing revenue and expenses for securities business activity. | No securities business is conducted through this entity, this services solely as a holding company. 8)10/22/2021 - Lang Financial Group - Investment Related - 8707 Skokie Boulevard Suite 206 Skokie, IL 60077 - Non-Variable Insurance - Start Date: 10/01/2021 - 0 Hours Per Month/0 Hours During Securities Trading. 9) 01/10/2022 - Indigo Wealth Advisors - Investment Related - DBA for LPL Business (entity for LPL business) - Lisle, IL - Start Date:01/03/2022 - 25 Hrs/Mth - 25 Hrs During Trading. 10) 02/05/2025 - Apollon Financial - Investment Related - Registered Investment Advisor Hybrid - At Reported Business Location(s) - Start Date:01/31/2025 - 160 Hrs/Mth - 160 Hrs During Trading.I provide investment advisory services through Apollon Financial, an independent investment advisor firm. I started this business activity in 1/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 11) 05/06/2025 - Apollon Financial LLC - Investment Related - DBA for LPL Business (entity for LPL business) -At Reported Business Location(s) - Start Date:04/30/2025 - 160 Hrs/Mth - 160 Hrs During Trading.
CRS (Client Relationship Summary) - RIA
Click below to view Dory Ann Rodriguez's 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®
Start date: 2012
Experience
Current
January 6, 2025 - Present
APOLLON FINANCIAL, LLC
Office #1: 2001 Butterfield Road Suite 800, Downers Grove, IL 60515RIA
CRD#: 321217
Downers Grove, IL
Current
December 19, 2012 - Present
LPL FINANCIAL LLC
Office #1: 2001 Butterfield Rd Ste 1000, Downers Grove, IL 60515RIA
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
General Industry/Product Exam
General Industry/Product Exam
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
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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)
Regulatory assets under management
| Total Number of Accounts | 1,700 |
| 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.
