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GR

Gerard L. Roddy

THORNBURG SECURITIES LLC
Santa Fe, NM 87506
Some features on this profile are disabled
CRD#: 5705031
GR

Professional summary

Gerard Luke Roddy, who also goes by Gerard L Roddy, Gerard Roddy, Gerry L Roddy, Gerry Luke Roddy, Gerry Roddy, is a registered financial professional currently at THORNBURG SECURITIES LLC located in Santa Fe, New Mexico.

Gerard is registered as a RR (Registered Representative) and started their career in finance in 2009. Gerard has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gerard L Roddy | Gerard Roddy | Gerry L Roddy | Gerry Luke Roddy | Gerry Roddy

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) - BD

Click below to view Gerard Luke Roddy'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®
None

Experience

Current

August 11, 2025 - Present

THORNBURG SECURITIES LLC

Office #1: 2300 North Ridgetop Road, Santa Fe, NM 87506
BD
CRD#: 14857
Santa Fe, NM
Past

January 4, 2021 - April 25, 2025

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

June 15, 2011 - December 31, 2020

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

June 15, 2011 - April 16, 2025

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

July 2, 2010 - May 25, 2011

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
MERRIMACK, NH
Past

November 16, 2009 - May 24, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

State Registrations and Notice Filings

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

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
Massachusetts
(8/11/2025)
RR
New Mexico
(8/11/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/1/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/23/2009
Uniform Securities Agent 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: 11/13/2009
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TS
THORNBURG SECURITIES LLC
THORNBURG SECURITIES CORPORATION | THORNBURG SECURITIES LLC

CRD#: 14857 / SEC#: , 8-31249

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Mailing Address
2300 North Ridgetop Road, Santa Fe, NM 87506
Phone number
(505) 984-0200
Established
Delaware since 12/28/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THORNBURG INVESTMENT MANAGEMENT INCSOLE MEMBER106357
BHATT, NIMISH SANJAYTREASURER, PRINCIPAL FINANCIAL OFFICER2789977
BROWNELL, JESSE RYANGLOBAL HEAD OF DISTRIBUTION5511918
CALLOW, AMYSECRETARY
HOLLOWAY, CURTIS EDWARDPRINCIPAL OPERATIONS OFFICER5130594
OLEXSAK, RONALDCHIEF COMPLIANCE OFFICER2858575

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

THORNBURG SECURITIES LLC

CRD#: 14857Santa Fe, NM 87506

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