Dana E. Rhodes
Professional summary
Dana Elise Rhodes, who also goes by Dana Elise Lair, is a registered financial professional currently at PARKLAND SECURITIES, LLC located in Ann Arbor, Michigan and SIGMA FINANCIAL CORPORATION located in Ann Arbor, Michigan.
Dana is registered as a RR (Registered Representative) and started their career in finance in 2000. Dana has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dana Elise Rhodes's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 15, 2021 - Present
PARKLAND SECURITIES, LLC
Office #1: 300 Parkland Plaza, Ann Arbor, MI 48103March 15, 2021 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 300 Parkland Plaza, Ann Arbor, MI 48103August 24, 2020 - March 5, 2021
PH PARTNERS, LLC
April 18, 2016 - August 31, 2018
KESTRA ADVISORY SERVICES, LLC
December 11, 2012 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
April 27, 2006 - August 31, 2018
KESTRA INVESTMENT SERVICES, LLC
May 31, 2000 - April 18, 2006
INVESCO DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/15/2021)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
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.
Company Information
SIGMA FINANCIAL CORPORATION
CRD#: 14303Ann Arbor, MI 48103TRUST BUT VERIFY
Monitor Dana Rhodes
Get automatic monthly alerts on:
