John D. Rhoads
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.
John David Rhoads was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1974. John had worked at 7 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2013 - July 1, 2014
SMITH ANGLIN FINANCIAL, LLC
August 17, 2005 - November 5, 2012
RHOADS LUCCA CAPITAL PARTNERS, L.P.
August 3, 1990 - April 19, 1999
WALNUT STREET SECURITIES, INC.
June 4, 1987 - October 15, 2013
RHOADS LUCCA CAPITAL MANAGEMENT, INC.
October 28, 1977 - July 2, 1986
PROVIDENT MARKETING CORPORATION
May 25, 1977 - August 6, 1990
ADVANTAGE CAPITAL CORPORATION
April 18, 1974 - May 4, 1977
MINISTERS LIFE MARKETING CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 4/16/1974
Registered Representative ExaminationCurrent Firm
SMITH ANGLIN FINANCIAL, LLC
CRD#: 144386 / SEC#: 801-68157
Contact information
Regulatory assets under management
| Total Number of Accounts | 3,824 |
| AUM (Assets Under Management) | $ 2,011,723,719 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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