TrueAdvisor
TrueAdvisor
JR
CFP
JR
CFP

Joseph Roddy

LPL Financial LLC
40 Years of Experience
St Louis, MO
BrokerSells Insurance
View SEC Summary
View SEC Summary

Joseph Roddy is a CFP-designated registered investment advisor at LPL Financial LLC, based in St Louis, MO, with 40 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4931 Lindell Blvd. Ste 150, St Louis, MO, 63108

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Joseph is an agent selling life, health, disability, fixed annuities, and long-term care insurance through Oracle Financial Inc., dedicating minimal time. He also operates West End Advisory Group as a DBA for his LPL business.

Employment History
Current Registrations
LPL Financial LLC
June 2021 - Present · 5 yrs 4 mos
LPL Financial LLCBroker
June 2021 - Present · 5 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
January 2014 - July 2021 · 7 yrs 6 mos
Cetera Advisor Networks LLCBroker
September 2013 - July 2021 · 7 yrs 10 mos
Paramount Financial LLC
October 2009 - July 2018 · 8 yrs 9 mos
Polaris Retirement Advisors, INC.
February 2008 - March 2010 · 2 yrs 1 mo
Walnut Street Securities, INC.
August 2004 - September 2013 · 9 yrs 1 mo
Polaris Capital Advisors INC
April 2002 - August 2004 · 2 yrs 4 mos
Polaris Capital Advisors INC
April 2002 - July 2003 · 1 yr 3 mos
Walnut Street Securities, INC.Broker
February 1990 - September 2013 · 23 yrs 7 mos
Forsyth Securites, INC.Broker
September 1986 - April 1989 · 2 yrs 7 mos
Drexel Burnham Lambert IncorporatedBroker
May 1983 - September 1984 · 1 yr 4 mos
State Registrations7 states
CAFLILINMDMOTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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