Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore John Roundy is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc., having joined the firm in October 2020. Previously, Theodore has held positions at Leader Capital Corp., Black Creek Capital Markets, LLC, Sentinel Financial Services Company, Goldman, Sachs & Co., Pioneer Funds Distributor, Inc., Prudential Investment Management Services LLC, NYLIFE Distributors Inc., Neuberger & Berman Management Incorporated, and W. S. Griffith & Co., Inc. Theodore has been active in the industry since 1995. Theodore holds a Series 6, 7, 63, and 66 license. The advisor currently has 1 registration approved in North Carolina and has a total of 7 approved registrations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
10/02/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
WA
10/25/2019 - 12/24/2019
LEADER CAPITAL CORP. (VANCOUVER WA)
CO
11/01/2017 - 06/21/2019
BLACK CREEK CAPITAL MARKETS, LLC (DENVER CO)
VT
09/09/2008 - 10/27/2017
SENTINEL FINANCIAL SERVICES COMPANY (MONTPELIER VT)
NY
11/18/2005 - 09/04/2008
GOLDMAN, SACHS & CO. (NEW YORK NY)
MA
06/04/2001 - 06/09/2005
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
NJ
06/25/1997 - 05/23/2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC (NEWARK NJ)
NJ
06/30/1994 - 03/07/1997
NYLIFE DISTRIBUTORS INC. (JERSEY CITY NJ)
NY
06/04/1993 - 05/23/1994
NEUBERGER & BERMAN MANAGEMENT INCORPORATED (NEW YORK NY)
CT
12/17/1992 - 04/01/1993
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
BOTH
Issued 06/28/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/03/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1993
Series 7 - General Securities Representative Examination
BC
Issued 12/15/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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