Rodney Lee Holloway
Professional Summary
Rodney Lee Holloway is a registered financial advisor currently at CFCI located in Bloomington, Indiana. Rodney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Rodney has worked at 5 firms and has passed the Series 65, Series 63, Series 62 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
CFCI | NORDBERG & VANDENBERG | COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC.
Contact Information
Main Address
674 S. College Avenue, Bloomington, IN 47403Phone Number
(812) 334-3190# of Employees
22SEC notice filing (12 States and Territories)
Registered to provide investment advisory services in 12 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,083AUM (Assets Under Management)
$595,565,339Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
CFCI | NORDBERG & VANDENBERG | COMPREHENSIVE FINANCIAL CONSULTANTS INSTITUTIONAL, INC.
State Registrations and Notice Filings
(6/18/2004)
(9/30/2015)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Mar 2000Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 1996About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Rodney Lee Holloway's CRS (Customer Relationship Summary).
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