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ER

Erica J. Rohde

Some features on this profile are disabled
CRD#: 5336987
ER

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.

Erica Jeanne Rohde, who also goes by Erica Jeanne Rohde, was a registered financial professional .

Erica is a previously registered financial professional and started their career in finance in 2011. Erica had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Erica Jeanne Rohde

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.
1. 2/16/2021 - Weissenburger Investments and Financial Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 5/25/2021 - Weis Advisory LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Licensed Admin. - Started 04/30/2021 - 8 Hours Per Month During Securities Trading - I provide administrative support to Weis Advisory LLC, an independent investment advisor firm. I started this business activity in 4/2021. I expect to spend approximately 8 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 11, 2024 - August 20, 2024

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

February 19, 2021 - April 28, 2025

WEIS ADVISORY

RIA
CRD#: 217517
CLIVE, IA
Past

February 16, 2021 - August 28, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
CLIVE, IA
Past

June 21, 2017 - January 8, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Clive, IA
Past

May 22, 2015 - January 8, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Clive, IA
Past

January 2, 2014 - September 25, 2014

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
ANKENY, IA
Past

June 18, 2012 - December 16, 2013

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
DES MOINES, IA
Past

May 14, 2012 - May 30, 2012

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

October 19, 2011 - March 19, 2012

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
CLIVE, IA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/4/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/16/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/2011
General Securities Representative Examination

Current Firm

AS
ATHENE SECURITIES, LLC
ATHENE SECURITIES IOWA, LLC | IL SECURITIES, LLC | IL SECURITIES, INC. | IL SECURITIES LLC | AVIVA SECURITIES, LLC | ATLAS SP SECURITIES | ATHENE SECURITIES, LLC

CRD#: 36867 / SEC#: , 8-47499

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Mailing Address
7700 Mills Civic Parkway, West Des Moines, IA 50266
Phone number
(515) 342-4616
Established
Indiana since 04/21/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATHENE USA CORPORATIONATHENE SECURITIES, LLC
BATTERSON, CHAD MPRESIDENT, COO, FINOP4880009
BURTON, SHEILA SUECHIEF COMPLIANCE OFFICER
GEYELIN, ANTONY LAUSSAT IIIVICE PRESIDENT4605388
HUNT, ANGELA JEANCOMPLIANCE OFFICER7192588

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

ATHENE SECURITIES, LLC

CRD#: 36867

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