Richard A. Rhoads

FRONTIER SOLUTIONS

Richmond, VA 23233

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CRD#: 2454875

Professional summary

Richard Andrew Rhoads, who also goes by Rick Rhoads, is a registered financial professional currently at FRONTIER SOLUTIONS, LLC 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Rhoads

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 Richard Andrew 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

May 10, 2010 - Present

FRONTIER SOLUTIONS, LLC

Office #1: 3307 Church Road Suite 220, Richmond, VA 23233

CRD#: 136102

Richmond, VA

Past

October 8, 2002 - March 11, 2005

SPIRE WEALTH MANAGEMENT, LLC

RIA

CRD#: 113908

RICHMOND, VA

Past

September 25, 2002 - May 10, 2010

MAYMONT PARTNERS, INC.

CRD#: 120536

RICHMOND, VA

Past

January 7, 2002 - April 7, 2002

JAMES RIVER SECURITIES CORP.

CRD#: 38477

MANAKIN-SABOT, VA

Past

January 13, 2001 - January 18, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

August 18, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

October 27, 1997 - August 13, 1998

SCOTT & STRINGFELLOW, INC.

CRD#: 3309

RICHMOND, VA

Past

March 27, 1997 - June 5, 1997

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

July 7, 1994 - October 25, 1996

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(5/12/2010)

Connecticut
(7/15/2011)

Florida
(3/9/2015)

Georgia
(5/10/2010)

Louisiana
(5/23/2016)

Massachusetts
(3/26/2020)

New York
(5/10/2010)

North Carolina
(3/26/2020)

Pennsylvania
(3/26/2020)

Texas
(3/26/2020)

Virginia
(1/31/2011)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/20/1994

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: 6/20/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/6/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

FRONTIER SOLUTIONS, LLC

CRD#: 136102 / SEC#: , 8-66972

Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

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Contact information

Main Address

3307 Church Road Suite 220, Richmond, VA 23233

Mailing Address

3307 Church Road Suite 220, Richmond, VA 23233

Phone number

(804) 918-2368

Established

Georgia since 05/03/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (47 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ASPEN PARTNERS, LTD	MANAGING MEMBER
TERRY, DEBORAH HOLLAND	FINOP/CFO	5680197
VICK, GEORGE DAVIS IV	CHIEF COMPLIANCE OFFICER	3006623

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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Advisor Monitoring

Firm Stability Insights

Richard A. Rhoads

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Andrew Rhoads's CRS (Customer Relationship Summary).

Certified licenses

Experience

SPIRE WEALTH MANAGEMENT, LLC

MAYMONT PARTNERS, INC.

JAMES RIVER SECURITIES CORP.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

SCOTT & STRINGFELLOW, INC.

CIBC WORLD MARKETS CORP.

MORGAN STANLEY & CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/2000

Series 63

Date: 9/20/1994

SIE

Date: 10/1/2018

Series 7

Date: 6/20/1994

Series 24

Date: 3/6/2002

FINRA

Current Firm

FRONTIER SOLUTIONS, LLC

Contact information

FINRA licenses (47 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FRONTIER SOLUTIONS, LLC

TRUST BUT VERIFY

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