Shad Roundy - Seascape Wealth - Financial Advisor Tracy, CA

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About Shad Roundy - Seascape Wealth

I have been a Financial Advisor for over 10 years starting in 2013 and I hold the Chartered Retirement Planning Counselor" designation. I began in Honolulu, then managed the Edward Jones Ka'anapali branch in Lahaina, Maui for 2 years. I eventually moved to Tracy, CA where I directed the Downtown branch for 5 years. From 2021 to 2024 I was a Senior Financial Advisor with Merrill Lynch. In 2024 I started my own practice- Seascape Wealth Management. I have clients all over the country - concentrated in the San Francisco East Bay area, the Central Valley, and Hawaii. I am currently accepting new clients both remotely and in person.

What I believe sets me apart as a Financial Advisor: Integrity - My clients can trust me to be honest and always have their best interest at heart. Communication - I listen! I strive to understand your goals, then explain options and plans clearly. Collaboration - It's your money. I base my recommendations on your timeline, your comfort with risk, and your input.

Work and life experience: University enrollment counselor in Phoenix - 3 years Helped run a national wholesale business in Utah - 7 years Met and worked with dozens of small businesses as an advertising consultant in Hawaii - 5 years I have been married for over 27 years to a brilliant woman and we have 3 incredible children.

Service: Full-time Missionary for the LDS church in Hawaii - 2 years Board of Directors for the Tracy Chamber of Commerce - 3 years LDS Bishop in Tracy, CA - 5 years I continue to volunteer within my community in various capacities. My work and life experiences have taught me to look beyond current events and take a wholistic view of financial goals and strategies. I understand the joys and struggles of family life, the challenges of running a business, the pain of losing a loved one, and preparing for the unexpected. As I've helped people throughout my life, I have truly seen how a solid financial plan brings confidence and security. Let's discuss how I can help you strengthen your financial future. *FINRA Series 7 & 66 registrations *Merrill Life Agency's California License Number 0522776

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General Information

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CRD#

6180525

Firm CRD#

23131

Insurance License#

0L12773

States Licensed in

CA, HI, UT, MT, IN, KS, ID, SD, WI

Years of Experience in Financial Services

Number of Years with Current Firm

Work Experience

SEASCAPE WEALTH MANAGEMENT Sep 2024 - Present Owner / Wealth Advisor MERRILL LYNCH, TRACY, CA Feb 2021 - Sep 2024 Senior Financial Advisor / Assistant Vice President (Current Position) Wealth Management for Major Accounts and Retirement Planning Financial Licenses - Finra Series 7, Series 66 and SEC registration Insurance Licenses - Life, Variable Life, Variable Annuities, Accident and Health Insurance - License #0522776 Mortgage License - NMLS ID 2120202

EDWARD JONES INVESTMENTS, TRACY, CA Aug 2016 Feb 2021 Financial Advisor

Work with the following types of clients

Individual Investors, Businesses

Advisory Services Provided

Money Management, 401K Rollovers, Retirement Planning, Portfolio Management, Financial Planning, Insurance Products & Annuities, Investment Advice & Management, Financial Advice & Consulting, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Wealth Management

Compliance

Registered Representative

Investment Advisor Representative

Acknowledged fiduciary

Compliance Disclosures in Last 5 years

I have a clean record

Criminal Disclosures in Last 5 years

I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations

CRPC^®

Securities Licenses

Series 7, Series 66

Insurance and Annuity Licenses

Variable Life, Long Term Care, Variable Annuity, Life, Annuity, Disability

Compensation and Fees

Fee Structure

Fee-Based

Minimum Portfolio Size for New Managed Accounts

$500,000

Compensation Methods

Based on Assets

Disclosures

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Additional Detailed Disclosures
https://www.paladinregistry.com/disclosure/1891419/paladinregistry-Osaic-DBA-Seascape-Wealth-Management-detailed-disclosure.html

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Shad Roundy - Seascape Wealth

Osaic DBA Seascape Wealth Management