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Kurt A. Roddy
KURT ANDREW RODDY
CRD#: 2480228
IA
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PLANMEMBER SECURITIES CORPORATIONCRD#: 11869 16911 129th St. Ct. NW
Gig Harbor, WA 98329
Gig Harbor, WA 98329
0
Disclosures
27
Years of Experience
View By:
State Registrations
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Arizona 4/4/2022
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Texas 9/29/2023
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California 4/4/2022
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Utah 12/12/2023
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Idaho 4/4/2022
B
Washington 4/4/2022
B
Montana 12/14/2023
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Washington 4/4/2022
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Oregon 4/4/2022
B
Wyoming 12/11/2023
SRO Registrations
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Registered with this firm since 4/4/2022
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Registered with this firm since 4/4/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/20/2021 - 04/08/2022 | GIG HARBOR, WA | |
IA | 11/06/2020 - 04/08/2022 | GIG HARBOR, WA | |
B | 11/06/2020 - 04/08/2022 | Gig Harbor, WA | |
IA | 01/02/2018 - 11/06/2020 | Gig Harbor, WA | |
B | 01/02/2018 - 11/06/2020 | Gig Harbor, WA | |
IA | 09/30/2011 - 01/02/2018 | GIG HARBOR, WA | |
B | 09/30/2011 - 01/02/2018 | GIG HARBOR, WA | |
IA | 01/16/2008 - 10/03/2011 | GIG HARBOR, WA | |
B | 01/16/2008 - 10/03/2011 | GIG HARBOR, WA | |
IA | 10/31/2007 - 01/04/2008 | GIG HARBOR, WA | |
B | 10/31/2007 - 01/04/2008 | GIG HARBOR, WA | |
B | 07/30/2007 - 11/05/2007 | BOUNTIFUL, UT | |
IA | 01/18/2006 - 07/25/2007 | SILVERDALE, WA | |
B | 01/18/2006 - 07/25/2007 | SILVERDALE, WA | |
IA | 03/01/2005 - 01/18/2006 | SILVERDALE, WA | |
B | 02/25/2005 - 01/18/2006 | SILVERDALE, WA | |
B | 05/02/2001 - 04/04/2002 | SAN FRANCISCO, CA | |
B | 03/02/2001 - 05/02/2001 | SAN FRANCISCO, CA | |
B | 11/25/1998 - 02/20/2001 | SAINT PAUL, MN | |
B | 07/19/1996 - 10/27/1998 | DULUTH, GA | |
B | 05/13/1994 - 06/24/1996 | NEWARK, NJ |
BOUNTIFUL, UT
07/30/2007 - 11/05/2007
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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.
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.