Richard Andrew Rhoads
Professional Summary
Richard Andrew Rhoads, who also goes by Rick Rhoads, is a registered financial advisor currently at FRONTIER SECURITIES located in Richmond, Virginia. Richard is registered as a RR (Registered Representative) and started their career in finance in 1994. Richard has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Rhoads
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Videos & Posts
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Contact Information
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AMERIPRISE FINANCIAL SERVICES, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
FRONTIER SECURITIES | FRONTIER SOLUTIONS, LLC
Contact Information
Main Address
3307 Church Road Suite 220, Richmond, VA 23233Mailing Address
3307 Church Road Suite 220, Richmond, VA 23233Phone Number
(804) 918-2368Established
Georgia since 05/03/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(5/12/2010)
(7/15/2011)
(3/9/2015)
(5/10/2010)
(5/23/2016)
(3/26/2020)
(5/10/2010)
(3/26/2020)
(3/26/2020)
(3/26/2020)
(1/31/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Andrew Rhoads's CRS (Customer Relationship Summary).
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AMERIPRISE FINANCIAL SERVICES, LLC
