David A. Rhoten

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CRD#: 2847171

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

David Allen Rhoten, CFP®, who also goes by David Allen Rhoten, David Rhoten, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1997. David had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Allen Rhoten | David Rhoten

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. CASE CENTRAL; INVESTMENT RELATED; 4105 LEXINGTON AVE N, ARDEN HILLS, MN 55126; FINANCIAL PLANNING; CASE MANAGER; START 12/2016; 160 HOURS PER MONTH; 140 HOURS DURING SECURITIES TRADING HOURS; MANAGE TEAM OF CASE DESIGNERS/FINANCIAL PLANNERS. 2. INSURANCE AGENT; INVESTMENT RELATED; 9014 SAWGRASS GLEN N, MAPLE GROVE, MN 55311; INSURANCE; INSURANCE AGENT; START 04/2017; 0 HOURS PER MONTH; 0 HOURS DURING SECURITIES TRADING HOURS; LICENSED INSURANCE AGENT - NOT CURRENTLY SOLICITING ANY INSURANCE BUSINESS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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^®

Certified Financial Planner

Start date: 2007

Experience

Past

November 7, 2018 - April 7, 2025

GRADIENT SECURITIES, LLC

CRD#: 127701

ARDEN HILLS, MN

Past

November 6, 2018 - April 7, 2025

GRADIENT SECURITIES, LLC

RIA

CRD#: 127701

ARDEN HILLS, MN

Past

July 12, 2017 - November 2, 2018

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Arden Hills, MN

Past

December 11, 2013 - December 14, 2016

WADDELL & REED

RIA

CRD#: 866

PITTSBURGH, PA

Past

January 14, 2013 - December 14, 2016

WADDELL & REED

CRD#: 866

PITTSBURGH, PA

Past

May 21, 2012 - November 8, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

PITTSBURGH, PA

Past

May 10, 2012 - November 8, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

PITTSBURGH, PA

Past

June 14, 2007 - April 20, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

MOON TWP, PA

Past

June 14, 2007 - April 20, 2012

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

MOON TWP, PA

Past

January 3, 2006 - October 13, 2006

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

MOON TOWNSHIP, PA

Past

July 23, 2004 - October 5, 2005

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PITTSBURGH, PA

Past

July 21, 2004 - October 5, 2005

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PITTSBURGH, PA

Past

May 4, 2001 - December 31, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

May 4, 2001 - August 13, 2004

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

Past

February 17, 2000 - December 31, 2000

MBSC, LLC

CRD#: 42430

NEW YORK, NY

Past

February 17, 2000 - May 9, 2001

DREYFUS INVESTMENT SERVICES COMPANY, LLC

CRD#: 17477

PITTSBURGH, PA

Past

February 12, 1997 - February 4, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

February 12, 1997 - February 4, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

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

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

State Security Law Exam

IAR

Series 65

Date: 10/12/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/10/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/8/2004

General Securities Principal Examination

Current Firm

GRADIENT SECURITIES, LLC

GRADIENT SECURITIES, LLC | SYM CAPITAL SECURITIES, LLC | GRADIENT WEALTH MANAGEMENT

CRD#: 127701 / SEC#: 801-80807, 8-66032

RIA

Registered Investment Advisory firm - SEC (1/8/2015 Approved)

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

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Contact information

Main Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Mailing Address

4105 Lexington Avenue Suite 380, Arden Hills, MN 55126

Phone number

(866) 991-1539

Established

Delaware since 04/09/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

GWM ADV PART 2A & 2B (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MERAKI PRIVATE EQUITY, LLC	OWNER
JOCHUM, JAMIE LEE	FINOP	4459768
LUCIUS, CHARLES EDWARD	OWNER MERAKI PRIVATE EQUITY, LLC	1012912
LUCIUS, TAMI JEAN	OWNER MERAKI PRIVATE EQUITY, LLC	2371362
NELSON, ROBERT SCOTT	PRESIDENT & ELECTED MANAGER	4237080
REMME, BRIAN ANDREW	CHIEF COMPLIANCE OFFICER	3103459

Regulatory assets under management

Total Number of Accounts	7,322
AUM (Assets Under Management)	$ 591,069,287

Disclosures

Regulatory Event

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

David A. Rhoten

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GRADIENT SECURITIES, LLC

GRADIENT ADVISORS, LLC

WADDELL & REED

WADDELL & REED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

COMMONWEALTH FINANCIAL NETWORK

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INSURANCE SERVICES, INC.

NATCITY INVESTMENTS, INC.

MBSC, LLC

DREYFUS INVESTMENT SERVICES COMPANY, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GRADIENT SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/12/2000

Series 63

Date: 1/29/1997

SIE

Date: 12/14/2016

Series 7

Date: 2/10/1997

Series 24

Date: 3/8/2004

Current Firm

GRADIENT SECURITIES, LLC

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

GRADIENT SECURITIES, LLC

TRUST BUT VERIFY

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