James E. Rhodes
Professional summary
James Edward Rhodes, who also goes by James Edward Rhodes, is a registered financial professional currently at B. RILEY SECURITIES, INC. located in Los Angeles, California.
James is registered as a RR (Registered Representative) and started their career in finance in 1992. James has worked at 17 firms and has passed the Series 66, Series 63, Series 16, Series 7TO, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Edward Rhodes's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2025 - Present
B. RILEY SECURITIES, INC.
Office #1: 11100 Santa Monica Blvd. Suite 800, Los Angeles, CA 90025September 30, 2024 - January 14, 2025
NYLIFE SECURITIES LLC
February 20, 2024 - August 13, 2024
EQUITABLE ADVISORS, LLC
January 11, 2024 - August 13, 2024
EQUITABLE ADVISORS, LLC
June 7, 2016 - March 14, 2017
MAXIM FINANCIAL ADVISORS LLC
November 3, 2015 - March 1, 2017
MAXIM GROUP LLC
May 9, 2012 - May 29, 2015
UBS FINANCIAL SERVICES INC.
April 11, 2012 - May 29, 2015
UBS FINANCIAL SERVICES INC.
April 8, 2010 - September 13, 2011
UBS SECURITIES LLC
March 22, 2010 - April 16, 2010
FUNDING CIRCLE SECURITIES LLC
August 24, 2005 - September 9, 2008
COUNTRYWIDE SECURITIES CORPORATION
August 14, 2002 - March 3, 2005
ABN AMRO INCORPORATED
January 18, 2001 - July 22, 2002
CREDIT SUISSE SECURITIES (USA) LLC
August 12, 1998 - November 30, 2000
PRUDENTIAL EQUITY GROUP, LLC
November 28, 1997 - June 3, 1998
AUBREY G. LANSTON & CO., INC.
July 28, 1997 - December 2, 1997
SALOMON BROTHERS INC.
February 14, 1995 - March 2, 1995
STORMHARBOUR SECURITIES LP
December 2, 1992 - June 20, 1994
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 9, 1992 - October 7, 1992
HIBBARD BROWN & CO., 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
(2/6/2025)
Exams
Series 7TO
Date: 1/11/2024
General Securities Representative ExaminationSeries 8
Date: 4/14/1993
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Nasdaq Stock Market
Current Firm
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| 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.
