DR
Daniel F. Rhoads
SCHRODER FUND ADVISORS LLC
New York, NY 10018-3706
Some features on this profile are disabled
CRD#: 4919143
DR
Professional summary
Daniel Frederick Rhoads, who also goes by Dan Rhoads, Danny Rhoads, is a registered financial professional currently at SCHRODER FUND ADVISORS LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Rhoads | Danny Rhoads
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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Frederick Rhoads's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 31, 2018 - Present
SCHRODER FUND ADVISORS LLC
Office #1: 7 Bryant Park, New York, NY 10018-3706BD
CRD#: 24129
New York, NY
Past
October 14, 2011 - January 3, 2018
CV BROKERAGE, INC
BD
CRD#: 462
WILLIAMSTOWN, NJ
Past
November 5, 2007 - April 19, 2011
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
March 18, 2005 - November 1, 2007
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/31/2018)
RR
Alaska(1/31/2018)
RR
Arizona(1/31/2018)
RR
Arkansas(1/31/2018)
RR
California(1/31/2018)
RR
Colorado(1/31/2018)
RR
Connecticut(1/31/2018)
RR
Delaware(1/31/2018)
RR
District of Columbia(1/31/2018)
RR
Florida(1/31/2018)
RR
Georgia(1/31/2018)
RR
Hawaii(1/31/2018)
RR
Idaho(1/31/2018)
RR
Illinois(1/31/2018)
RR
Indiana(1/31/2018)
RR
Iowa(1/31/2018)
RR
Kansas(1/31/2018)
RR
Kentucky(1/31/2018)
RR
Louisiana(1/31/2018)
RR
Maine(1/31/2018)
RR
Maryland(1/31/2018)
RR
Massachusetts(1/31/2018)
RR
Michigan(1/31/2018)
RR
Minnesota(1/31/2018)
RR
Mississippi(1/31/2018)
RR
Missouri(1/31/2018)
RR
Montana(1/31/2018)
RR
Nebraska(1/31/2018)
RR
Nevada(1/31/2018)
RR
New Hampshire(1/31/2018)
RR
New Jersey(1/31/2018)
RR
New Mexico(1/31/2018)
RR
New York(1/31/2018)
RR
North Carolina(1/31/2018)
RR
North Dakota(1/31/2018)
RR
Ohio(1/31/2018)
RR
Oklahoma(1/31/2018)
RR
Oregon(1/31/2018)
RR
Pennsylvania(1/31/2018)
RR
Puerto Rico(1/31/2018)
RR
Rhode Island(1/31/2018)
RR
South Carolina(1/31/2018)
RR
South Dakota(1/31/2018)
RR
Tennessee(7/14/2021)
RR
Texas(1/31/2018)
RR
Utah(1/31/2018)
RR
Vermont(1/31/2018)
RR
Virginia(1/31/2018)
RR
Washington(1/31/2018)
RR
West Virginia(1/31/2018)
RR
Wisconsin(1/31/2018)
RR
Wyoming(1/31/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SF
SCHRODER FUND ADVISORS LLC
SCHRODER CAPITAL DISTRIBUTORS INC. | SCHRODER FUND ADVISORS LLC | SCHRODER FUND ADVISORS INC.
CRD#: 24129 / SEC#: , 8-40973
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
7 Bryant Park, New York, NY 10018-3706
Mailing Address
7 Bryant Park, New York, NY 10018-3706
Phone number
(212) 641-3889
Established
Delaware since 06/30/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| LANIER, ANGEL | ASSISTANT SECRETARY | 6772355 |
| LOWE, RICHARD JOHN | BOARD MEMBER | 7060365 |
| MARSHALL, DAVID JAMES | AUTHORIZED SIGNATORY | 3070206 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| MUHLBAUM, CARIN FANNY | SECRETARY | 3198495 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
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.
