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AR

Amy K. Rhodes

ATHENE SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 2354186
AR

Professional summary

Amy Kathryn Rhodes, who also goes by Amy Kathryn Files, Amy Kathryn Surmeier, is a registered financial professional currently at ATHENE SECURITIES, LLC located in West Des Moines, Iowa.

Amy is registered as a RR (Registered Representative) and started their career in finance in 1993. Amy has worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Amy Kathryn Files | Amy Kathryn Surmeier

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 Amy Kathryn 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 22, 2024 - Present

ATHENE SECURITIES, LLC

Office #1: 7700 Mills Civic Parkway, West Des Moines, IA 50266
BD
CRD#: 36867
West Des Moines, IA
Past

March 11, 2024 - April 1, 2024

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
Phenix City, AL
Past

August 22, 2013 - September 29, 2020

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

December 11, 2004 - June 15, 2012

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

April 6, 2004 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

March 16, 2000 - March 25, 2004

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

August 18, 1998 - January 12, 2000

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

BD
CRD#: 15708
BIRMINGHAM, AL
Past

May 2, 1997 - June 7, 2000

TOUCHSTONE SECURITIES, INC.

BD
CRD#: 1526
CINCINNATI, OH
Past

December 21, 1994 - March 6, 1997

BOATMEN'S INVESTMENT SERVICES, INC.

BD
CRD#: 17533
ST. LOUIS, MO
Past

May 11, 1994 - November 7, 1994

INVESCO CAPITAL MARKETS, INC.

BD
CRD#: 6939
HOUSTON, TX
Past

May 28, 1993 - March 25, 1994

BOATMEN'S INVESTMENT SERVICES, INC.

BD
CRD#: 17533
ST. LOUIS, MO

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
Iowa
(4/29/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/22/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/27/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/11/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

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

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 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#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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

ATHENE SECURITIES, LLC

CRD#: 36867West Des Moines, IA 50266

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