Daniel L. Rhode

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CRD#: 374933

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.

Daniel Lee Rhode was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1970. Daniel had worked at 16 firms and has passed the Series 63, SIE, Series 55 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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®

None

Experience

Past

June 29, 2001 - December 1, 2014

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

CRD#: 42941

PHOENIX, AZ

Past

December 22, 1995 - June 22, 2001

GLOBAL FINANCIAL GROUP, INC.

CRD#: 23958

MINNEAPOLIS, MN

Past

October 5, 1994 - December 31, 1994

SMITH, BENTON & HUGHES, INC.

CRD#: 20877

LOS ANGELES, CA

Past

May 3, 1994 - September 27, 1994

SPENCER EDWARDS, INC.

CRD#: 22067

CENTENNIAL, CO

Past

October 1, 1993 - April 28, 1994

TAMARON INVESTMENTS, INC.

CRD#: 14929

ENGLEWOOD, CO

Past

May 4, 1990 - September 22, 1993

MATHEWS, HOLMQUIST & ASSOCIATES, INC.

CRD#: 22171

Past

April 20, 1989 - May 2, 1990

M. H. NOVICK & CO., INC.

CRD#: 6293

Past

February 1, 1988 - December 17, 1988

OBERWEIS SECURITIES, INC.

CRD#: 7739

Past

February 11, 1986 - February 1, 1988

ENGLER-BUDD & COMPANY INC.

CRD#: 1743

Past

April 14, 1976 - January 6, 1986

SECO SECURITIES, INC.

CRD#: 5363

Past

January 4, 1976 - April 7, 1976

MIDWEST DISCOUNT SECURITIES, INC.

CRD#: 6226

Past

November 12, 1974 - January 20, 1975

INDUSTRY SAVINGS PLANS, INC.

CRD#: 425

Past

February 1, 1974 - May 15, 1974

CINCINNATI ANALYSTS, INC.

CRD#: 5478

Past

September 6, 1973 - February 1, 1974

FML FUNDS DISTRIBUTION COMPANY

CRD#: 1777

Past

December 31, 1971 - October 20, 1973

M. L. FALLICK CO., INC.

CRD#: 5211

Past

December 11, 1970 - November 4, 1971

JOHN STEPHENS & COMPANY INC

CRD#: 1000001

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".

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 5/1/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/1/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 2/3/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 1

Date: 5/15/1969

Registered Representative Examination

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

EQUITY SECURITIES INVESTMENTS, INC. | THE SWANSON GROUP | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC. | THE OAK RIDGE FINANCIAL SERVICES GROUP, INC | THE OAK RIDGE FINANCIAL SERVICES GROUP INC

CRD#: 42941 / SEC#: 801-80809, 8-50082

RIA

Registered Investment Advisory firm - SEC (1/15/2015 Approved)

Florida

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Idaho

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Illinois

Registered Investment Advisory firm - SEC (12/31/2009 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/18/2015 Terminated)

Montana

Registered Investment Advisory firm - SEC (12/31/2012 Terminated)

Washington

Registered Investment Advisory firm - SEC (12/14/2009 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (3/31/2015 Terminated)

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

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Contact information

Main Address

701 Xenia Ave. South, Suite 100 Suite 100, Golden Valley, MN 55416-1089

Mailing Address

701 Xenia Ave. South, Suite 100, Golden Valley, MN 55416-1089

Phone number

(763) 923-2200

Established

Minnesota since 03/13/1997

Firm type

Corporation

Fiscal year end

September

Firm Size

Small

# of Employees

SEC notice filing (38 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

202409 THE OAK RIDGE FINANCIAL SERVICES BROCHURE (12/23/2025)

Direct owners and executive officers

Name	Position	CRD#
OAK RIDGE ACQUISITION CORPORATION	CORPORATE OWNER
COWAN, BRANDON JAMES	EVP, CCO	5404862
EKMAN, JOHN RICHARD	EXECUTIVE VICE PRESIDENT	1632217
KING, RUSSELL STUART	CHAIRMAN, CEO & DIRECTOR	1703706
RIP, OLGA	FINOP	5440553
RUMBLE, JULIE ANN MACY	VP, OPERATIONS MANAGER	2643309

Regulatory assets under management

Total Number of Accounts	1,500
AUM (Assets Under Management)	$ 668,581,099

Disclosures

Regulatory Event	8
Arbitration	2

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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Firm Stability Insights

Daniel L. Rhode

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GLOBAL FINANCIAL GROUP, INC.

SMITH, BENTON & HUGHES, INC.

SPENCER EDWARDS, INC.

TAMARON INVESTMENTS, INC.

MATHEWS, HOLMQUIST & ASSOCIATES, INC.

M. H. NOVICK & CO., INC.

OBERWEIS SECURITIES, INC.

ENGLER-BUDD & COMPANY INC.

SECO SECURITIES, INC.

MIDWEST DISCOUNT SECURITIES, INC.

INDUSTRY SAVINGS PLANS, INC.

CINCINNATI ANALYSTS, INC.

FML FUNDS DISTRIBUTION COMPANY

M. L. FALLICK CO., INC.

JOHN STEPHENS & COMPANY INC

Primary Firm SEC Registration

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/1/1984

SIE

Date: 12/1/2014

Series 55

Date: 2/3/2000

Series 1

Date: 5/15/1969

Current Firm

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

Contact information

SEC notice filing (38 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.

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