Steven H. Gendler
Professional summary
Steven Herbert Gendler is a registered financial professional currently at RHODES SECURITIES, INC. located in Dallas, Texas.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2004. Steven has worked at 4 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven Herbert Gendler's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 17, 2020 - Present
RHODES SECURITIES, INC.
Office #1: 12720 Hillcrest Dr Ste 910, Dallas, TX 75230January 17, 2007 - December 31, 2019
CAPITAL IDEAS
April 19, 2006 - April 22, 2020
ALLIANCE FINANCIAL GROUP, INC.
October 15, 2004 - April 11, 2006
AWM SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2020)
(4/17/2020)
(4/17/2020)
(4/17/2020)
(4/17/2020)
(4/17/2020)
(4/17/2020)
(1/2/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
RHODES SECURITIES, INC.
CRD#: 19610 / SEC#: , 8-37689
Contact information
FINRA licenses (45 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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Company Information
RHODES SECURITIES, INC.
CRD#: 19610Dallas, TX 75230TRUST BUT VERIFY
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