DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Joseph Dennis Roddy
Certified Financial Planner
Feed of 09/14/2026
At current firm
5 y
since Jun 28, 2021
In the industry
43 y
since May 25, 1983 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jun 28, 2021 · St Louis, Mo
- Cetera Advisor Networks LLC formerJan 27, 2014 to Jul 1, 2021 · St. Louis, Mo
- Paramount Financial LLC unclassifiedOct 27, 2009 to Jul 31, 2018 · St. Louis, Mo
- Polaris Retirement Advisors, Inc. unclassifiedFeb 1, 2008 to Mar 16, 2010 · St. Louis, Mo
- Walnut Street Securities, Inc. formerAug 3, 2004 to Sep 5, 2013 · New York, Ny
- Polaris Capital Advisors Inc unclassifiedApr 15, 2002 to Jul 25, 2003 · St. Louis, Mo
- Polaris Capital Advisors Inc unclassifiedApr 15, 2002 to Aug 3, 2004
Moves
a registration end followed by a registration begin elsewhere
- Cetera Advisor Networks LLC to LPL Financial LLCleft Jul 1, 2021, registered Jun 28, 2021 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- Paramount Financial LLC to Cetera Advisor Networks LLCleft Jul 31, 2018, registered Jan 27, 2014 (-1646 days) · Other
- Walnut Street Securities, Inc. to Polaris Retirement Advisors, Inc.left Sep 5, 2013, registered Feb 1, 2008 (-2043 days) · Other
- Polaris Retirement Advisors, Inc. to Paramount Financial LLCleft Mar 16, 2010, registered Oct 27, 2009 (-140 days) · Other
- Polaris Capital Advisors Inc to Walnut Street Securities, Inc.left Aug 3, 2004, registered Aug 3, 2004 (0 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address