DR
David L. Rhodes
CETERA INVESTMENT ADVISERS LLC
BRYAN, TX 77807
Some features on this profile are disabled
CRD#: 2620006
DR
Professional summary
David Lee Rhodes, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bryan, Texas and CETERA WEALTH SERVICES, LLC located in Bryan, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
(1) THE RHODES FINANCIAL GROUP; SINCE 01/01/2011; 5105 SPANISH BAY COURT, SUITE 307, COLLEGE STATION, TX, 77845; PLANNER, INSURANCE AGENT; FIXED INSURANCE; 5 HOURS SPENT PER MONTH, 3 DURING TRADING HOURS (2) TEXAS A&M UNIVERSITY; SINCE 01/01/1998; SAME ADDRESS AS BRANCH; MEMBER; NO DUTIES, CONTACT PERSON TO REVIEW THEIR CHARITABLE CONCERNS; 1 HOUR SPENT PER MONTH, 0 DURING TRADING HOURS (3) NAME OF OTHER BUSINESS: NATIONAL STRATEGIC CONCEPTS CONSULTANTS INC DBA THE RFG ; INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: S CORP FOR TAX PURPOSES ; START DATE: 12/2002 ; POSITION/TITLE/RELATIONSHIP: OWNER / PRESIDENT / DIRECTOR APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: NSCC IS THE S CORP THAT THE RHODES FINANCIAL GROUP IS UNDER (4) NAME OF OTHER BUSINESS: THE RHODES FINANCIAL GROUP; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: REFERRAL SERVICES; START DATE: 06/2024;; POSITION/TITLE/RELATIONSHIP: REFERRER; APX NUMBER OF HOURS PER WEEK: 3; APX NUMBER OF HOURS DURING TRADING HOURS: 2; BRIEF DESCRIPTION OF DUTIES: REFERRING CLIENTS TO STONECASTLE FOR FDIC INSURED ACCOUNTS; (5) NAME OF OTHER BUSINESS: BRAZOS VALLEY CARE, INVESTMENT RELATED: NO, ADDRESS: PO BOX 9512, COLLEGE STA, TX 77582, NATURE OF BUSINESS: NON-PROFIT, START DATE: 01/2025, POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER, APX NUMBER OF HOURS PER WEEK: 2, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: HELP DEVELOP MARKETING PLAN TO INCREASE OUR BRAND IN OUR COMMUNITY.;
CRS (Client Relationship Summary) - RIA
Click below to view David Lee Rhodes's 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®
CFP®
Start date: 1996
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1920 W Villa Maria Suite 307, Bryan, TX 77807RIA
CRD#: 105644
BRYAN, TX
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1920 W Villa Maria Dr Suite 310, Bryan, TX 77807BD
CRD#: 13572
BRYAN, TX
Past
May 20, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 17, 2011 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
BRYAN, TX
Past
March 23, 2011 - March 23, 2011
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
BRYAN, TX
Past
March 23, 2011 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BRYAN, TX
Past
May 27, 1999 - February 23, 2011
OSAIC FA, INC.
RIA
CRD#: 3978
DALLAS, TX
Past
May 26, 1999 - April 6, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
May 26, 1999 - February 23, 2011
OSAIC FA, INC.
BD
CRD#: 3978
DALLAS, TX
Past
June 5, 1995 - June 25, 1999
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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.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
Alabama(5/29/2025)
RR
Alaska(2/2/2024)
RR
California(9/20/2019)
RR
Florida(5/25/2021)
RR
Georgia(9/20/2019)
RR
Louisiana(5/16/2025)
RR
Maryland(1/17/2023)
RR
Missouri(8/27/2024)
RR
New Mexico(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
