Dion M. Rhodes
Professional summary
Dion Marie Rhodes, who also goes by Dion Rhodes, is a registered financial professional currently at VOYA FINANCIAL ADVISORS, INC. located in Irvine, California.
Dion is registered as a RR (Registered Representative) and started their career in finance in 1988. Dion has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 16, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dion Marie Rhodes's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2020 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7545 Irvine Centre Dr Suite 200, Irvine, CA 92618August 11, 2008 - October 23, 2018
FIDELITY BROKERAGE SERVICES LLC
February 23, 2006 - October 2, 2007
CITIGROUP GLOBAL MARKETS INC.
May 1, 2001 - August 24, 2005
J.P. MORGAN SECURITIES INC.
January 19, 1988 - May 1, 2001
JPMSI
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2020)
Exams
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
