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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

DORY ANN RODRIGUEZ

Advisor at APOLLON FINANCIAL, LLC

Downers Grove, IL | MOUNT PLEASANT, SC

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Search this name across graphsid dfx:ria:bff71038-34e2-3ee8-c5fb-6828e69d7615

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 24, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: APOLLON FINANCIAL, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 5, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 5, 2001
First registration: Sep 24, 2001
Dual registered: yes, broker-dealer
Other names: DORY A SURGIT|DORY A SOLZMAN|DORY ANN SURGIT|DORY ANN SOLZMAN|DORY ANN RODRIGUEZ|DORY ANN RODRIGUEZ CFP
IAPD individual key: 4400437

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
APOLLON FINANCIAL, LLC	Independent wealth	Jan 6, 2025	n/a	yes	MOUNT PLEASANT, SC\|Downers Grove, IL	Current employment
HIGHPOINT PLANNING PARTNERS	Independent wealth	Dec 17, 2021	Jan 16, 2025	no	Oak Park, IL\|DOWNERS GROVE, IL\|LISLE, IL	Previous registration
HIGHPOINT ADVISOR GROUP, LLC	Former SEC adviser	Jan 17, 2013	Dec 31, 2021	no	Lisle, IL\|DOWNERS GROVE, IL	Previous registration
SECURIAN FINANCIAL SERVICES, INC.	Former SEC adviser	Sep 24, 2001	Dec 20, 2012	no	OAK BROOK, IL\|Downers Grove, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
HIGHPOINT PLANNING PARTNERS	APOLLON FINANCIAL, LLC	Jan 16, 2025	Jan 6, 2025	-10	Firm change	RIA to RIA
HIGHPOINT ADVISOR GROUP, LLC	HIGHPOINT PLANNING PARTNERS	Dec 31, 2021	Dec 17, 2021	-14	Bulk transfer	RIA to new firm
SECURIAN FINANCIAL SERVICES, INC.	HIGHPOINT ADVISOR GROUP, LLC	Dec 20, 2012	Jan 17, 2013	28	Firm change	Other

Relationships

Registered with (4)

→ APOLLON FINANCIAL, LLCRegistered adviserregistration: current employment
Jan 6, 2025 to presentfactForm ADV
→ HIGHPOINT PLANNING PARTNERSRegistered adviserregistration: previous registration
Dec 17, 2021 to Jan 16, 2025factForm ADV
→ HIGHPOINT ADVISOR GROUP, LLCRegistered adviserregistration: previous registration
Jan 17, 2013 to Dec 31, 2021factForm ADV
→ SECURIAN FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Sep 24, 2001 to Dec 20, 2012factForm ADV

Dated events

Occurred
Jan 16, 2025
Advisor changed firm
Dory Ann Rodriguez left Highpoint Planning Partners for Apollon Financial, Llc (registered 2025-01-06)
Form ADVobserved 4 days ago