Daniel F. 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.
Daniel Frederick Rhoads, who also goes by Dan Rhoads, Danny Rhoads, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2005. Daniel had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2018 - August 19, 2026
SCHRODER FUND ADVISORS LLC
October 14, 2011 - January 3, 2018
CV BROKERAGE, INC
November 5, 2007 - April 19, 2011
OPPENHEIMER & CO. INC.
March 18, 2005 - November 1, 2007
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
What does exam status mean?
Current Firm
SCHRODER FUND ADVISORS LLC
CRD#: 24129 / SEC#: , 8-40973
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. | DIRECT OWNER | |
| BAILEY, TIFFANY | ASSISTANT SECRETARY | 8254382 |
| CHELF, RYAN | SECRETARY | 7895909 |
| DARNOWSKI, THOMAS JOHN | MANAGER | 5609038 |
| DOOLEY, CATHERINE | MANAGER | 8254433 |
| FORTINO, ROBERT ANTHONY | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 1905741 |
| MAZZA, CATHERINE ANDREA | PRESIDENT, CHAIR, BOARD MEMBER | 1444025 |
| PATNAIK, SHANAK | CHIEF COMPLIANCE OFFICER | 6184296 |
| SAUER, WILLIAM PETER | BOARD MEMBER | 1622322 |
Red Flags
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