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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn D Rhodes is a financial advisor with Morgan Stanley. John has over 19 years of experience in the financial services industry. John is registered with the state of North Carolina. John has passed the Series 63, Series 65, Series 66 and Series 7 exams. John has also passed the SIE exam. John's areas of expertise include: asset allocation advice, financial planning, portfolio management for businesses, portfolio management for individuals and portfolio management for investment companies.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NC
01/26/2022 - Present
Morgan Stanley (Winston-Salem NC)
NC
05/12/2005 - 11/13/2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHARLOTTE NC)
IN
08/19/2003 - 02/11/2005
JEFFERSON PILOT SECURITIES CORPORATION (FORT WAYNE IN)
NJ
07/25/2000 - 08/02/2001
CSFBDIRECT, INC. (JERSEY CITY NJ)
NY
09/30/1999 - 05/10/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 08/15/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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