James S. Rhodes
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Samuel Rhodes was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 15 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2009 - October 16, 2012
R.W. TOWT & ASSOCIATES
August 10, 2007 - November 24, 2008
VOYA FINANCIAL ADVISORS, INC.
January 26, 2006 - July 25, 2007
BROOKSTREET SECURITIES CORPORATION
June 21, 2000 - December 9, 2005
NEVWEST SECURITIES CORPORATION
April 19, 1999 - June 9, 2000
SECURITIES AMERICA, INC.
April 11, 1996 - December 31, 1998
WMA SECURITIES, INC.
October 14, 1994 - February 27, 1996
SEIBT FINANCIAL SERVICES, INC
July 18, 1994 - November 9, 1994
ZIONS DIRECT, INC.
May 13, 1993 - August 7, 1993
COMPULIFE INVESTOR SERVICES, INC.
August 28, 1992 - May 13, 1993
SUNAMERICA SECURITIES, INC.
March 5, 1991 - September 1, 1992
IDS LIFE INSURANCE COMPANY
March 5, 1991 - September 1, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
June 18, 1989 - February 20, 1991
SUNAMERICA SECURITIES, INC.
March 22, 1988 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
February 3, 1987 - April 5, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
November 22, 1985 - March 13, 1987
FINANCIAL ESTATE PLANNING, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
R.W. TOWT & ASSOCIATES
CRD#: 128837 / SEC#: , 8-66182
Contact information
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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.
