Shad Roundy
,
Assistant Vice President, Financial Advisor
3255 West March Lane
Stockton, CA 95219
209.472.3529
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Whatever your personal goals may be, I will work together with you, one-on-one, to develop a personalized financial strategy designed to help you pursue your long-term goals.
Profile

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. Since 2021 I have been a Senior Financial Advisor with Merrill Lynch 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

About Me
Value Proposition

My mission, first and foremost, is to understand you and what matters most to you. Armed with that information I can ask thoughtful questions -- listening carefully, then understanding in detail where your wealth stands today and where you'd like it to be tomorrow. I help you design and implement a personalized plan intended to help you and your family pursue financial goals while helping manage investment risk. My approach is to focus on potential solutions that can help turn goals into reality.

Additional Resources
The following specialists do not make securities recommendations. Please contact your Merrill Lynch Wealth Management Advisor if you have questions about how a specialist might be able to assist you.
Lay Hagan
Wealth Management Banking Specialist
Merrill
Lindsey Marie Lund
Employee Benefits Specialist
Bank of America, N.A.
Thursday, April 11th 2024| 12pm
Webinar- Social Security and You

Potential Strategies for maximizing benefits

About Merrill

Bringing fresh perspectives to your financial life

The financial decisions you make today can help determine the future you build for yourself and your family. Carving a clear path forward starts with connecting your life and finances. A Merrill advisor provides access to the investing insights of Merrill and banking capabilities of Bank of America to help you make informed decisions as you pursue your goals.

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Chartered Retirement Planning Counselor™, CRPC™, and the CRPC™ logo are certification marks or registered certification marks of The College for Financial Planning Institutes Corp. in the United States.
Shad Roundy is registered to do business in CA, HI, ID, IN, KS, MT, SD, TX, UT, WI.