John N. 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.
John Nicholas Rhoads was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2008. John had worked at 5 firms and has passed the Series 66, SIE, Series 79 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
March 30, 2018 - June 23, 2023
FDX CAPITAL LLC
August 4, 2015 - May 16, 2016
GOLDMAN SACHS & CO. LLC
June 14, 2014 - August 18, 2014
GOLDMAN SACHS & CO. LLC
March 30, 2010 - August 6, 2013
STRATEGIC ADVISERS LLC
September 2, 2009 - August 6, 2013
FIDELITY BROKERAGE SERVICES LLC
March 9, 2009 - August 19, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 17, 2008 - August 19, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
FDX CAPITAL LLC
CRD#: 119302 / SEC#: , 8-65170
Contact information
FINRA licenses (51 States and Territories)
Documents
Disclosures
| Regulatory Event | 2 |
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.
