Vetted Advisor's Table

Shad Roundy
Merrill Lynch

Tel: 209-472-3529
2714 Redbridge Road
Tracy, CA 95377
Merrill Lynch | Financial Advisor in Tracy ,CA

Merrill Lynch Wealth Management

About Shad Roundy

I have been a Financial Advisor for over 10 years starting in 2013. 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 -Worked with hundreds 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. Lets discuss how I can help you strengthen your financial future. *FINRA Series 7 & 66 *Merrill Life Agency's California License Number 0522776

About Merrill Lynch

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

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General Information

Firm Start Year:   1923
Insurance License#:   0L12773
States Licensed in:   CA, HI, UT, MT, TX, IN, KS, ID, SD
Number of Years with Current Firm:   3
Work Experience:   MERRILL LYNCH, TRACY, CA Feb 2021  Present 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:   Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Financial Planning


Investment Types:   Mutual Funds, Bonds, Alternative Investments, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Insurance, Annuities, Stocks, Options & Futures, Socially Responsible Investments (SRI)
Can meet clients in the following ways:   Our Office, Phone, Your Office, Your Home, Video Conference

Qualifications & Memberships

Insurance and Annuity Licenses:   Annuity, Life, Disability, Long Term Care, Variable Life, Variable Annuity

Compensation and Fees

Fee Structure:   Fee-Based
Minimum Portfolio Size for New Managed Accounts:   $500,000
Compensation Methods:   Based on Assets


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

Additional Detailed Disclosures



Registered Representative:


Investment Advisor Representative:


Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Office Hours

Mon. 9:00 AM - 6:00 PM
Tue. 9:00 AM - 6:00 PM
Wed. 9:00 AM - 6:00 PM
Thu. 9:00 AM - 6:00 PM
Fri. 9:00 AM - 6:00 PM
Sat. 10:00 AM - 2:00 PM

Communities Served

San Francisco East Bay area, Central Valley and Hawaii.

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