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WR

William G. Rhoads

J. D. SEIBERT & COMPANY
CINCINNATI, OH 45202-2024
Some features on this profile are disabled
CRD#: 2093964
WR

Professional summary

William Gormley Rhoads is a registered financial professional currently at J. D. SEIBERT & COMPANY, INC. located in Cincinnati, Ohio.

William is registered as a RR (Registered Representative) and started their career in finance in 1991. William has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Gormley Rhoads'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

October 12, 2006 - Present

J. D. SEIBERT & COMPANY, INC.

Office #1: 20 West 9th Street, Cincinnati, OH 45202-2024
BD
CRD#: 7884
CINCINNATI, OH
Past

January 30, 2004 - August 5, 2004

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
DULUTH, GA
Past

April 6, 2001 - December 31, 2003

L.M. KOHN & COMPANY

BD
CRD#: 27913
CINCINNATI, OH
Past

August 11, 1997 - March 6, 2001

DONAHUE SECURITIES, INC.

BD
CRD#: 24330
CINCINNATI, OH
Past

August 11, 1992 - August 20, 1997

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

April 29, 1991 - April 15, 1992

TMT FINANCIAL SERVICES, INC.

BD
CRD#: 26613
ORLANDO, FL

State Registrations and Notice Filings

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

RR
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

RR
Florida
(10/12/2006)
RR
Kentucky
(10/12/2006)
RR
Ohio
(10/17/2006)

Exams

State Security Law Exam
RR
Series 63
Date: 5/29/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/25/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

JD
J. D. SEIBERT & COMPANY, INC.
J. D. SEIBERT & COMPANY, INC.

CRD#: 7884 / SEC#: , 8-23604

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
20 West 9th Street, Cincinnati, OH 45202-2024
Mailing Address
20 West 9th Street, Cincinnati, OH 45202-2024
Phone number
+1 (513) 241-8888
Established
Ohio since 01/16/1979
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SEIBERT, SCOTT WILLIAMPRESIDENT, SECRETARY, AND TREASURER2096860
REYNOLDS, MATTHEW MARKFINOP4077413
SEIBERT, JOHN DAVIDCHIEF COMPLIANCE OFFICER418105

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.

Company Information

J. D. SEIBERT & COMPANY, INC.

CRD#: 7884Cincinnati, OH 45202-2024

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