ShadRoundy - Seascape Wealth- Financial Advisor Tracy, CA

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About Shad Roundy - Seascape Wealth

As an Independent Wealth Advisor, I offer advice and guidance for potential investment solutions that consider your life goals, risk tolerance, time horizon and liquidity needs.

See Disclosures

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

PaladinRegistry.com provides referrals to financial professionals. PaladinRegistry.com is not a current client of advisor or advisory services. Financial professionals pay cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.

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

Paladin Advisors

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Paladin Research Report For:

Shad Roundy - Seascape Wealth

Osaic DBA Seascape Wealth Management