Rodney L. Hinkle
Professional summary
Rodney Lee Hinkle was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rodney is a previously registered financial professional and started their career in finance in 1977. Prior to being barred, Rodney had worked at 10 firms, which includes CETERA ADVISORS LLC, IFG NETWORK SECURITIES INC., WEALTH BUILDERS EQUITY CORPORATION, SECURITIES AMERICA INC., MUTUAL SERVICE CORPORATION, LOWRY FINANCIAL SERVICES CORPORATION, CARDELL & ASSOCIATES INCORPORATED, ANCHOR NATIONAL FINANCIAL SERVICES INC., FMR SECURITIES INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 1996 - July 24, 1998
CETERA ADVISORS LLC
January 1, 1996 - August 5, 1996
IFG NETWORK SECURITIES, INC.
May 5, 1994 - January 1, 1996
WEALTH BUILDERS EQUITY CORPORATION
November 10, 1992 - September 9, 1993
SECURITIES AMERICA, INC.
March 31, 1989 - November 16, 1992
MUTUAL SERVICE CORPORATION
August 26, 1985 - March 31, 1989
LOWRY FINANCIAL SERVICES CORPORATION
November 8, 1982 - September 11, 1985
CARDELL & ASSOCIATES, INCORPORATED
May 7, 1982 - November 17, 1982
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
February 24, 1981 - October 26, 1982
FMR SECURITIES, INC.
October 18, 1977 - March 28, 1980
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
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 1
Date: 10/12/1977
Registered Representative ExaminationCurrent Firm
CETERA ADVISORS LLC
CRD#: 10299 / SEC#: 801-33020, 8-26892
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| ARNOLD, SUMMER SELTZER | VICE PRESIDENT | 2954103 |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| DEL VALLE, ELISA ANNE-MARIE | VICE PRESIDENT | 4807911 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HALLORAN, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER, PRESIDENT AND MANAGER | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CHIEF COMPLIANCE OFFICER | 5059176 |
| MERRILL, GARRETT JAMES | VICE PRESIDENT | 4306692 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| VOGEL, RICHARD CHARLES | VICE PRESIDENT | 4024999 |
Regulatory assets under management
| Total Number of Accounts | 81,652 |
| AUM (Assets Under Management) | $ 21,989,347,265 |
Disclosures
| Regulatory Event | 14 |
| Civil Event | 1 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2023 |
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.
