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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Rhodes is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. He has been in the industry since 2009 and has a broad range of experience in securities and investment advisory services. Roger has been registered with FINRA and a number of states since 2011. In addition to being registered as an Investment Advisor Representative (IAR), Roger is also licensed as a General Securities Representative. He holds the Series 7, Series 6, Series 3, Series 31, Series 63, Series 65, Series 9 and Series 10 licenses. Roger has previously worked with Fifth Third Securities, Inc., and New England Securities. Roger is a dedicated professional and is committed to providing personalized financial advice and guidance to his clients.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TN
08/29/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BRENTWOOD TN)
TN
03/08/2011 - 03/23/2012
FIFTH THIRD SECURITIES, INC. (NASHVILLE TN)
TN
11/22/2005 - 04/19/2007
NEW ENGLAND SECURITIES (NASHVILLE TN)
IA
Issued 06/13/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/12/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/29/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/06/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/12/2021
Series 3 - National Commodity Futures Examination
BC
Issued 03/02/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2012
Series 7 - General Securities Representative Examination
BC
Issued 03/07/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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