Gene R. Rhoades

CETERA INVESTMENT ADVISERS LLC

ASHLAND, KY 41101

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CRD#: 1939639

Professional summary

Gene Randall Rhoades II, who also goes by Gene Randall II Rhoades, Randy Rhoades, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Ashland, Kentucky and CETERA WEALTH SERVICES, LLC located in Ashland, Kentucky.

Gene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Gene has worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gene Randall Ii Rhoades | Randy Rhoades

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. NAME OF OTHER BUSINESS: RRK HOLDINGS INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: CORPORATION USED TO PURCHASE OFFICE BUILDING START DATE: 09/2010 POSITION/TITLE/RELATIONSHIP: JOINT OWNER APX NUMBER OF HOURS PER WEEK: .25 APX NUMBER OF HOURS DURING TRADING HOURS: .25 BRIEF DESCRIPTION OF DUTIES: JOINT OWNER OF PROPERTY PAY BILLS AND UP KEEP;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Randall Rhoades II's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 7, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 324 20th Street, Ashland, KY 41101

RIA

CRD#: 105644

ASHLAND, KY

Current

August 4, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 324 20th Street, Ashland, KY 41101

CRD#: 13572

ASHLAND, KY

Past

August 5, 2022 - August 20, 2025

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

Ashland, KY

Past

March 1, 2007 - December 31, 2022

B. RILEY WEALTH MANAGEMENT

RIA

CRD#: 2543

Ashland, KY

Past

March 1, 2007 - August 20, 2025

B. RILEY WEALTH MANAGEMENT

CRD#: 2543

Ashland, KY

Past

October 19, 2006 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

RIA

CRD#: 36405

ASHLAND, KY

Past

September 26, 2006 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

CRD#: 36405

ASHLAND, KY

Past

January 4, 1999 - December 31, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

August 3, 1998 - January 4, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

June 1, 1996 - September 5, 2006

NATCITY INVESTMENTS, INC.

CRD#: 17490

ASHLAND, KY

Past

May 5, 1994 - August 3, 1998

INDEPENDENT FINANCIAL SECURITIES, INC.

CRD#: 19924

Past

August 31, 1993 - June 1, 1996

NATIONAL CITY INVESTMENTS CORPORATION

CRD#: 17365

Past

March 2, 1992 - September 9, 1993

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

January 22, 1991 - March 9, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

April 18, 1989 - January 22, 1991

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Delaware
(8/20/2025)

Florida
(8/5/2025)

Georgia
(8/4/2025)

Indiana
(8/22/2025)

Kentucky
(8/20/2025)

IAR

Kentucky
(8/20/2025)

Maryland
(8/28/2025)

New York
(9/5/2025)

North Carolina
(8/21/2025)

Ohio
(8/5/2025)

South Carolina
(8/20/2025)

IAR

West Virginia
(8/7/2025)

West Virginia
(8/19/2025)

Wisconsin
(8/26/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/1/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/12/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/15/1989

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Gene R. Rhoades

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gene Randall Rhoades II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

B. RILEY WEALTH ADVISORS, INC.

B. RILEY WEALTH MANAGEMENT

B. RILEY WEALTH MANAGEMENT

CAPITAL SECURITIES OF AMERICA, INC.

CAPITAL SECURITIES OF AMERICA, INC.

NATCITY INSURANCE SERVICES, INC.

IFMG SECURITIES, INC.

NATCITY INVESTMENTS, INC.

INDEPENDENT FINANCIAL SECURITIES, INC.

NATIONAL CITY INVESTMENTS CORPORATION

IFMG SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/1/2001

Series 63

Date: 6/12/1989

SIE

Date: 10/1/2018

Series 7

Date: 4/15/1989

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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