This brochure supplement provides information about James A. Roddewig that supplements the Unity Financial LLC brochure. You should have received a copy of that brochure. Please contact Unity Financial LLC if you did not receive that brochure or if you have any questions about the contents of this supplement.
Additional information about James A. Roddewig is also available on the SEC's website at www.adviserinfo.sec.gov.
Form ADV Part 2B – Individual Disclosure Brochure
for
James A. Roddewig
Personal CRD Number: 5683447
Investment Advisor Representative
Unity Financial LLC
950 West Ryan Street -P. O. Box 7
Brillion, Wisconsin 54110
(920)756-2272
James@UnityFinancialLLC.com
UPDATED: 03/2012
JAMES A. RODDEWIG
Education and Business Background
James A. Roddewig is currently pursuing a Bachelor's degree in Organizational Management degree at Ashford University. He is a licensed investment advisor representative and holds a State of Wisconsin insurance license for the areas of Life and Disability insurance, as well as being authorized to offer Long Term Care insurance (LTC) under the State’s Partnership Program. Mr. Roddewig has several years of experience in the insurance industry. He has been a member of the National Guard for 13 years, five of which were active duty in support of the global war on terror. He currently holds the rank of Sergeant First Class and is assigned as a field artillery instructor at the Wisconsin Military Academy.
*As of the filing of this document, Mr. Roddewig was recalled to active duty for the second time with the Wisconsin Army National Guard in support of our current military conflicts.
Disciplinary Information
There are no legal or disciplinary events that are material to a client's or prospective client's evaluation of this business.
Other Business Activities
James A. Roddewig is a licensed insurance agent. From time to time, he will offer clients advice or products from those activities. Clients should be aware that insurance services pay a commission and involve a possible conflict of interest, as commission-able products can conflict with the fiduciary duties of a registered investment advisor. Unity Financial LLC always acts in the best interest of the client, including the sale of commission-able products to advisory clients. Clients are in no way required to implement the plan through any representative of Unity Financial LLC in their capacity as an insurance agent.
Mr. Roddewig is also an active member in the Army National Guard.
Additional Compensation
Other than salary, annual bonuses, regular bonuses, Mr. Roddewig does not receive any economic benefit from any person, company, or organization, in exchange for providing clients advisory services through Unity Financial LLC.
Supervision
James Roddewig is supervised by Mr. Andrew Schneider, sole member and investment manager of Unity Financial LLC. Mr. Schneider can be reached at (920) 756-2272 or Andy@UnityFinancialLLC.com.
Supervision of Mr. Roddewig is in the form of discussing all cases, reviewing of financial planning, reviewing and implementation of investment strategies, and personal communication with all clients. All strategies, purchases of annuities, life insurance, long term care insurance products are reviewed and approved by Mr. Schneider.