MR
Matthew J. Roedl
LPL ENTERPRISE
EFFINGHAM, IL 62401
Some features on this profile are disabled
CRD#: 5821964
MR
Professional summary
Matthew Joseph Roedl, who also goes by Matt Roedl, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Effingham, Illinois.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Matthew has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Roedl
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) 09/20/2024- Roedl Probst Properties, LLC- Real Estate Rental- Rent out property as a short term rental- INV Related- At Effingham, IL- Start date 08/25/2023- 4 HRS MTH- 2 HRS During Trading 2) 08/26/2020- American Republic Insurance Services- Non-Variable Insurance- medicare supplement sales- INV Related- At Effingham, IL- Start date 08/26/2020- 4 HRS MTH- 4 HRS During Trading 3) 09/11/2024- Effingham County Chamber of Commerce- Non-profit volunteer (not on board)- Chamber of Commerce member - volunteer activities- Not INV Related- At Effingham, IL- Start date 08/26/2016- 1 HRS MTH- 1 HRS During Trading 4) 09/11/2024- Ace Property and Casualty Insurance Company- Non-Variable Insurance- medicare supplment sales- INV Related- At Effingham, IL- Start date 08/26/2023- 0 HRS MTH- 0 HRS During Trading 5) 09/11/2024- Manhattan Life Assurance Company- Non-Variable Insurance- medicare supplement sales- INV Related- At Effingham, IL- Start date 08/26/2023- 1 HRS MTH- 1 HRS During Trading 6) 09/11/2024- Mark and Joyce Roedl Irrevocable Trust- Act in a Fiduciary Capacity- Trustee for immediate family- INV Related- At Effingham, IL- Start date 10/01/2018- 0 HRS MTH- 0 HRS During Trading 7) 09/11/2024- Effingham Regional Career Academy- Non-profit volunteer (not on board)- Volunteer as Co-Chair of Workforce Readiness Committee- Not INV Related- At Effingham, IL- Start date 08/26/2017- 3 HRS MTH- 1 HRS During Trading 8) 09/11/2024- National Wild Turkey Federation - Little Wabash Longbeards- Non-profit volunteer (not on board)- volunteer- Not INV Related- At Effingham, IL- Start date 08/26/2016- 1 HRS MTH- 1 HRS During Trading 9) 09/11/2024- Knights of Columbus- Non-profit volunteer (not on board)- volunteer- Not INV related- At Effingham, IL- Start date 01/01/2016- 1 HRS MTH- 1 HRS During Trading 10) 09/11/2024- St Francis Parish- Non-profit volunteer (not on board)- volunteer- Not INV Related- Not INV Related- Start date 01/01/2016- 5 HRS MTH- 0 HRS During Trading 11) 10/14/2025-360 Wealth Advisors-Senior Wealth Advisor-DBA for LPL Business (entity for LPL business)-Inv related-At reported business location(s)-Start date 10/20/2025-250hrs/mth-250hrs/mth during trading
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Joseph Roedl's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Joseph Roedl'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 101 S Maple St., Effingham, IL 62401RIA
BD
CRD#: 8733
EFFINGHAM, IL
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 101 S Maple St., Effingham, IL 62401RIA
BD
CRD#: 8733
EFFINGHAM, IL
Past
July 12, 2013 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Effingham, IL
Past
September 22, 2010 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Effingham, 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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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(11/14/2024)
RR
Colorado(11/14/2024)
RR
Florida(11/18/2024)
RR
Georgia(1/3/2025)
RR
Illinois(11/14/2024)
IAR
Illinois(11/14/2024)
RR
Indiana(11/14/2024)
RR
Iowa(11/14/2024)
RR
Kentucky(7/22/2025)
RR
Michigan(9/22/2025)
RR
Pennsylvania(11/14/2024)
RR
Tennessee(11/14/2024)
RR
Texas(1/30/2025)
IAR
Texas(1/30/2025)
RR
Wisconsin(5/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/10/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
