Louis J. 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.
Louis Jeremiah Rhodes, who also goes by Jerry Rhodes, was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1987. Louis had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2011 - December 31, 2016
NATIONWIDE SECURITIES, LLC
July 12, 2007 - December 2, 2010
MML INVESTORS SERVICES, LLC
July 9, 2007 - December 2, 2010
MML INVESTORS SERVICES, LLC
May 31, 2006 - February 12, 2007
COUNTRYWIDE INVESTMENT SERVICES, INC.
December 1, 2005 - June 7, 2006
CITIZENS SECURITIES, INC.
November 5, 2002 - December 1, 2005
CHARTER ONE SECURITIES, INC.
December 1, 2001 - November 27, 2002
U.S. BANCORP INVESTMENTS, INC.
May 31, 2000 - December 1, 2001
FIRSTAR INVESTMENT SERVICES,INC.
September 2, 1998 - May 31, 2000
CONSECO SECURITIES, INC.
June 1, 1996 - March 10, 1998
NATCITY INVESTMENTS, INC.
January 17, 1995 - March 23, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
November 15, 1994 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
July 7, 1992 - November 17, 1994
FINANCIAL HORIZONS SECURITIES CORPORATION
July 22, 1987 - January 15, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
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
NATIONWIDE SECURITIES, LLC
CRD#: 11173 / SEC#: 801-69260, 8-12500
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NFS DISTRIBUTORS, INC. | MANAGING MEMBER | |
| ANIANO, JOSEPH NICHOLAS | PRESIDENT | 4303290 |
| GINNAN, STEVEN A. | BOARD MANAGER | 6984613 |
| JESTICE, KEVIN THOMAS | BOARD MANAGER | 5363377 |
| RABENSTINE, JAMES JAY | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2025566 |
| ROSWELL, EWAN THEODORE | AVP, FINANCE CONTROLLERSHIP-NF AND FINOP | 3056545 |
| STEVENSON, ERIC RAY | BOARD MANAGER | 5250338 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
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.
