Christopher B. 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.
Christopher Barrett Rhodes, who also goes by Chris Rhodes, Christopher Rhodes, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2007. Christopher had worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2011 - November 17, 2021
MFS INSTITUTIONAL ADVISORS INC.
November 18, 2011 - November 17, 2021
MFS FUND DISTRIBUTORS, INC.
June 1, 2011 - November 11, 2011
MML INVESTORS SERVICES, LLC
February 9, 2011 - November 11, 2011
MML INVESTORS SERVICES, LLC
March 25, 2009 - February 10, 2011
WADDELL & REED
November 6, 2007 - March 16, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
MFS INSTITUTIONAL ADVISORS INC.
CRD#: 107144 / SEC#: 801-46433
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
Series 6TO
Date: 3/18/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
MFS INSTITUTIONAL ADVISORS INC.
CRD#: 107144 / SEC#: 801-46433
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,260 |
| AUM (Assets Under Management) | $ 111,845,233,320 |
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.
