David 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.
David Rhodes was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2016. David had worked at 5 firms and has passed the Series 66, SIE 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 27, 2018 - May 22, 2018
TD AMERITRADE, INC.
February 26, 2018 - May 22, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - May 22, 2018
TD AMERITRADE, INC.
June 28, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
June 28, 2017 - February 26, 2018
SCOTTRADE, INC.
February 24, 2016 - June 14, 2017
MORGAN STANLEY
January 27, 2016 - June 14, 2017
MORGAN STANLEY
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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