Jeffrey L. Rhodes

ERNST & YOUNG INVESTMENT ADVISERS LLP

New York, NY 10001

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CRD#: 2257677

Professional summary

Jeffrey Louis Rhodes, who also goes by Jeff Rhodes, is a registered financial advisor currently at ERNST & YOUNG INVESTMENT ADVISERS LLP located in New York, New York.

Jeffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Jeffrey has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jeff Rhodes

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.

Jeffrey Rhodes self employed insurance producer 1755 York Avenue New York, NY 10128 6-10 hours/ month No activity during trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Louis Rhodes'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

April 1, 2019 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #1: 1 Manhattan West, New York, NY 10001

RIA

CRD#: 110921

New York, NY

Past

November 2, 2018 - December 17, 2018

OSAIC WEALTH, INC.

RIA

CRD#: 23131

MELVILLE, NY

Past

November 2, 2018 - December 17, 2018

OSAIC WEALTH, INC.

CRD#: 23131

MELVILLE, NY

Past

July 28, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

MELVILLE, NY

Past

April 21, 2016 - November 2, 2018

SIGNATOR INVESTORS, INC.

CRD#: 468

MELVILLE, NY

Past

April 13, 2000 - February 22, 2002

ELECTRONIC TRADING GROUP, LLC

CRD#: 37453

NEW YORK, NY

Past

August 21, 1998 - April 18, 2000

ON-SITE TRADING, INC.

CRD#: 30271

GREAT NECK, NY

Past

March 25, 1997 - May 16, 1997

F1 TRADING.COM, INC.

CRD#: 20375

MINEOLA, NY

Past

February 20, 1996 - April 4, 1997

CORTLANDT CAPITAL CORPORATION

CRD#: 25152

NEW YORK CITY, NY

Past

September 28, 1993 - February 26, 1996

COLIN WINTHROP & CO., INC.

CRD#: 26012

JERICHO, NY

Past

April 1, 1993 - August 30, 1993

GOLDIS FINANCIAL GROUP, INC.

CRD#: 16444

GARDEN CITY, NY

Past

December 21, 1992 - April 28, 1993

CASTLE SECURITIES CORP.

CRD#: 16077

FREEPORT, NY

Past

September 12, 1992 - November 28, 1992

A.J. MICHAELS & CO., LTD.

CRD#: 19883

HAUPPAUGE, 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".

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 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.

Highlighted states indicate IAR registrations

IAR

New York
(12/22/2022)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/29/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/10/1992

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: 4/21/2016

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 10/19/1998

Limited Representative-Equity Trader Exam

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094

Mailing Address

Phone number

(800) 273-0588

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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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Firm Stability Insights

Jeffrey L. Rhodes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jeffrey Louis Rhodes's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

ELECTRONIC TRADING GROUP, LLC

ON-SITE TRADING, INC.

F1 TRADING.COM, INC.

CORTLANDT CAPITAL CORPORATION

COLIN WINTHROP & CO., INC.

GOLDIS FINANCIAL GROUP, INC.

CASTLE SECURITIES CORP.

A.J. MICHAELS & CO., LTD.

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2016

Series 63

Date: 8/10/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/21/2016

Series 55

Date: 10/19/1998

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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