Brent Nicholas Rhodes

APOLLO GLOBAL SECURITIES

Miami, FL 33131

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CRD#: 5114993

Professional summary

Brent Nicholas Rhodes, who also goes by Brent Nicholas Rhodes, Brent Rhodes, is a registered financial professional currently at APOLLO GLOBAL SECURITIES, LLC located in Miami, Florida.

Brent Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2006. Brent Nicholas has worked at 3 firms and has passed the Series 66, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brent Nicholas Rhodes | Brent Rhodes

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) - BD

Click below to view Brent Nicholas Rhodes's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 7, 2019 - Present

APOLLO GLOBAL SECURITIES, LLC

Office #1: 701 Brickell Ave Suite 2300, Miami, FL 33131

CRD#: 153502

Miami, FL

Past

February 9, 2011 - December 31, 2012

UBS SECURITIES LLC

RIA

CRD#: 7654

NEW YORK, NY

Past

February 4, 2011 - April 17, 2019

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

July 25, 2007 - February 4, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WEEHAWKEN, NJ

Past

September 26, 2006 - February 4, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Florida
(8/2/2024)

New York
(5/7/2019)

Exams

State Security Law Exam

IAR

Series 66

Date: 1/27/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 12/16/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/25/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

AP CM, LLC | ATLAS SP SECURITIES | APOLLO GLOBAL SECURITIES, LLC

CRD#: 153502 / SEC#: , 8-68542

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

9 West 57th Street, New York, NY 10019-2701

Mailing Address

9 West 57th Street, New York, NY 10019-2701

Phone number

(212) 515-3200

Established

Delaware since 03/11/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
APOLLO MANAGEMENT HOLDINGS, L.P.	MEMBER
CHATTERJEE, WHITNEY A	MEMBER BOARD OFMANAGERS	7874808
DRESCHER, STEPHANIE	HEAD OF MARKETING	3055145
LEVY, YAEL KENAN	CHIEF COMPLIANCE OFFICER	4435788
NEEDLEMAN, ERIC DAVID	PRESIDENT	2773431
TREBING, ADAM P	CFO / FINOP / PFO / POO	5828238
TREBING, ADAM P	MEMBER BOARD OF MANAGERS	5828238

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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Brent Nicholas Rhodes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brent Nicholas Rhodes's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS SECURITIES LLC

UBS SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2007

SIE

Date: 10/1/2018

Series 79

Date: 12/16/2011

Series 7

Date: 9/25/2006

FINRA

Current Firm

APOLLO GLOBAL SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

APOLLO GLOBAL SECURITIES, LLC

TRUST BUT VERIFY

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