FW
Francis E. Whitfield
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CRD#: 1661391
FW
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.
Francis Elwyn Whitfield, who also goes by Whit Whitfield, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1987. Francis had worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Whit Whitfield
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. INSURANCE AGENT REPRESENTING SEVERAL COMPANIES.
2. INDEPENDENT CONTRACTOR REGISTERED REPRESENTATIVE OF RHODES SECURITIES, INC. BROKER DEALER IS LOCATED AT 306 WEST 7TH STREET, SUITE 1000, FORT WORTH, TX 76102.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
March 7, 2003 - August 16, 2023
RHODES INVESTMENT ADVISORS, INC.
RIA
CRD#: 114245
STILLWATER, OK
Past
November 9, 1990 - August 16, 2023
RHODES SECURITIES, INC.
BD
CRD#: 19610
FT WORTH, TX
Past
April 22, 1988 - October 24, 1990
FIRST WESTERN SECURITIES, INC.
BD
CRD#: 19537
HURST, TX
Past
August 11, 1987 - March 31, 1988
SIMMONS-GREEN FINANCIAL SERVICES, INC.
BD
CRD#: 10393
Past
April 29, 1987 - June 24, 1987
BLINDER, ROBINSON & CO., INC.
BD
CRD#: 5096
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
RHODES INVESTMENT ADVISORS, INC.
CRAIG S. WADE DBA CRAIG S. WADE FINACIAL SERVICES | WHIT WHITFIELD, DBA FE WHITFIELD INVESTMENTS AND INSURANCE | TRICIA CARTER-HABER DBA HABER WEALTH MANAGEMENT | SUSAN PARIS, DBA PARIS FINANCIAL SERVICES | ROBERT L. RICHERSON, III DBA RICHERSON CAPITAL MANAGEMENT PLLC | RHODES SECURITIES, INC. | RHODES INVESTMENT ADVISORS, INC. | PREFERRED FINANCIAL SERVICES, INC. | JOHN RUSH VANN, JR., DBA JOHN RUSH VANN, JR. INVESTMENT MANAGEMENT | JEAN S. FRIE, DBA FRIE FINANCIAL GROUP, INC. | JAMES D. PALMER, DBA PALMER RETIREMENT CONSULTANTS | HARRISON S. REED III, DBA REED INVESTMENTS | GUY M. CUMBIE, DBA CUMBIE ADVISORY SERVICES, INC. | DAVID A. BURGESS DBA BURGESS FINANCIAL
CRD#: 114245 / SEC#: 801-117510
RIA
Registered Investment Advisory firm - (10/18/2019 Approved)Kansas
Registered Investment Advisory firm - (11/5/2020 Terminated)Louisiana
Registered Investment Advisory firm - (11/6/2020 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2020 Terminated)Oklahoma
Registered Investment Advisory firm - (1/22/2021 Terminated)South Carolina
Registered Investment Advisory firm - (11/5/2020 Terminated)Texas
Registered Investment Advisory firm - (11/5/2020 Terminated)Washington
Registered Investment Advisory firm - (12/31/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
RI
RHODES INVESTMENT ADVISORS, INC.
CRAIG S. WADE DBA CRAIG S. WADE FINACIAL SERVICES | WHIT WHITFIELD, DBA FE WHITFIELD INVESTMENTS AND INSURANCE | TRICIA CARTER-HABER DBA HABER WEALTH MANAGEMENT | SUSAN PARIS, DBA PARIS FINANCIAL SERVICES | ROBERT L. RICHERSON, III DBA RICHERSON CAPITAL MANAGEMENT PLLC | RHODES SECURITIES, INC. | RHODES INVESTMENT ADVISORS, INC. | PREFERRED FINANCIAL SERVICES, INC. | JOHN RUSH VANN, JR., DBA JOHN RUSH VANN, JR. INVESTMENT MANAGEMENT | JEAN S. FRIE, DBA FRIE FINANCIAL GROUP, INC. | JAMES D. PALMER, DBA PALMER RETIREMENT CONSULTANTS | HARRISON S. REED III, DBA REED INVESTMENTS | GUY M. CUMBIE, DBA CUMBIE ADVISORY SERVICES, INC. | DAVID A. BURGESS DBA BURGESS FINANCIAL
CRD#: 114245 / SEC#: 801-117510
RIA
Registered Investment Advisory firm - (10/18/2019 Approved)Kansas
Registered Investment Advisory firm - (11/5/2020 Terminated)Louisiana
Registered Investment Advisory firm - (11/6/2020 Terminated)New Mexico
Registered Investment Advisory firm - (12/31/2020 Terminated)Oklahoma
Registered Investment Advisory firm - (1/22/2021 Terminated)South Carolina
Registered Investment Advisory firm - (11/5/2020 Terminated)Texas
Registered Investment Advisory firm - (11/5/2020 Terminated)Washington
Registered Investment Advisory firm - (12/31/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
306 West 7th Street Suite 1000, Fort Worth, TX 76012
Mailing Address
Phone number
(817) 334-0455
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (7 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 815 |
| AUM (Assets Under Management) | $ 376,312,618 |
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.
