Katherine A. 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.
Katherine Anne Rhodes, who also goes by Katy Rhodes, Kathy Rhodes, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 2017. Katherine had worked at 5 firms and has passed the Series 65, Series 63, 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
January 4, 2019 - October 30, 2019
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
January 2, 2019 - October 29, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
June 29, 2018 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
March 26, 2018 - December 31, 2018
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 10, 2017 - March 9, 2018
MUZINICH CAPITAL LLC
Primary Firm SEC Registration
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
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
TEXAS CAPITAL BANK PRIVATE WEALTH ADVISORS
CRD#: 298422 / SEC#: 801-114364
Contact information
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,982 |
| AUM (Assets Under Management) | $ 3,471,701,060 |
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.
