Michael S. Rhodes
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.
Michael Stephen Rhodes, who also goes by Michael Rhodes, Mike Rhodes, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 2 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 6, 2009 - November 6, 2013
361 CAPITAL LLC
February 12, 2007 - February 23, 2007
EQUITABLE ADVISORS, LLC
January 3, 2007 - February 23, 2007
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
361 CAPITAL LLC
CRD#: 118203 / SEC#: 801-60813
Contact information
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.
