Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Daniel P Roddy
DANIEL PATRICK RODDY
CRD#: 2263997
IA
Investment Adviser
B
Broker
EDWARD JONESCRD#: 250 1014 Gateway Boulevard
Suite 103
Boynton Beach, FL 33426
Registration History
19952000200520102015202020252 FIRMS2018 - 2021 (2 years)2 FIRMS2021 - Present (3 years)BSCOTTRADE, INC. (CRD# 8206)2008 - 2018 (9 years)BMURIEL SIEBERT & CO., INC. (CRD# 5376)1998 - 2008 (9 years)BTHE DREYFUS SERVICE CORPORATION (CRD# 231)1997 - 1998 (1 year)BDEAN WITTER REYNOLDS INC. (CRD# 7556)1995 - 1996 (1 year)BGREAT WESTERN FINANCIAL SECURI... (CRD# 14229)1995 - 1995 (<1 year)BSMITH BARNEY INC. (CRD# 7059)1994 - 1995 (1 year)BCHATFIELD DEAN & CO., INC. (CRD# 14714)1992 - 1993 (1 year)IATD AMERITRADE INVESTMENT MANAG... (CRD# 111514)2018 - 2020 (2 years)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2018 (<1 year)
License(s)

State Registrations

B
California 6/15/2023
B
Massachusetts 5/14/2021
B
Florida 5/14/2021
B
North Carolina 5/14/2021
IA
Florida 5/17/2021
B
South Carolina 6/15/2023
B
Maryland 1/12/2023

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EDWARD JONES (CRD#:250)
1014 Gateway Boulevard Suite 103, Boynton Beach, FL 33426
Registered with this firm since 5/17/2021
B
EDWARD JONES (CRD#:250)
1014 Gateway Boulevard Suite 103, Boynton Beach, FL 33426
Registered with this firm since 5/14/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/28/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) BOCA RATON, FL
B
 02/26/2018 - 01/11/2021 TD AMERITRADE, INC. (CRD#:7870) BOCA RATON, FL
IA
 02/26/2018 - 12/31/2020 TD AMERITRADE INVESTMENT MANAGEMENT, LLC (CRD#:111514) Boca Raton, FL
IA
 04/05/2017 - 02/26/2018 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) Boynton Beach, FL
B
 05/29/2008 - 02/26/2018 SCOTTRADE, INC. (CRD#:8206) BOYNTON BEACH, FL
B
 11/30/1998 - 05/28/2008 MURIEL SIEBERT & CO., INC. (CRD#:5376) WEST PALM BEACH, FL
B
 10/23/1997 - 11/04/1998 THE DREYFUS SERVICE CORPORATION (CRD#:231) NEW YORK, NY
B
 10/03/1995 - 11/26/1996 DEAN WITTER REYNOLDS INC. (CRD#:7556) PURCHASE, NY
B
 02/24/1995 - 10/04/1995 GREAT WESTERN FINANCIAL SECURITIES CORPORATION (CRD#:14229) NORTHRIDGE, CA
B
 01/14/1994 - 02/08/1995 SMITH BARNEY INC. (CRD#:7059) NEW YORK, NY
B
 09/21/1992 - 10/06/1993 CHATFIELD DEAN & CO., INC. (CRD#:14714) GREENWOOD VILLAGE, CO
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.