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Detailed Report
GENE RANDALL RHOADES II
GENE RANDALL II RHOADES, RANDY RHOADES
CRD#: 1939639
IA
Investment Adviser
B
Broker
B. RILEY WEALTH ADVISORS, INC.CRD#: 115927 324 20th Street
Ashland, KY 41101
B. RILEY WEALTH MANAGEMENTCRD#: 2543 324 20th Street
Ashland, KY 41101
Registration History
199019952000200520102015202020252 FIRMS2006 - 2007 (<1 year)IAB. RILEY WEALTH ADVISORS, INC. (CRD# 115927)2022 - Present (2 years)BB. RILEY WEALTH MANAGEMENT (CRD# 2543)2007 - Present (18 years)BNATCITY INVESTMENTS, INC. (CRD# 17490)1996 - 2006 (10 years)BNATCITY INSURANCE SERVICES, INC. (CRD# 16989)1999 - 2001 (2 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1998 - 1999 (<1 year)BINDEPENDENT FINANCIAL SECURITI... (CRD# 19924)1994 - 1998 (4 years)BNATIONAL CITY INVESTMENTS CORP... (CRD# 17365)1993 - 1996 (2 years)BLIBERTY SECURITIES CORPORATION (CRD# 14416)1992 - 1993 (1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1991 - 1992 (1 year)BSMITH BARNEY, HARRIS UPHAM & C... (CRD# 7059)1989 - 1991 (1 year)IAB RILEY WEALTH MANAGEMENT (CRD# 2543)2007 - 2022 (15 years)
Disclosure(s)
View By:
8/2/2012
Customer Dispute
Settled
7/11/2008
Customer Dispute
Settled
1/10/2006
Customer Dispute
Settled
8/17/2004
Customer Dispute
Settled
License(s)

State Registrations

B
Delaware 8/23/2011
B
New York 5/1/2019
B
Florida 3/1/2007
B
North Carolina 2/28/2019
B
Georgia 3/1/2007
B
Ohio 3/1/2007
B
Indiana 9/21/2018
B
South Carolina 2/21/2018
B
Kentucky 3/1/2007
B
West Virginia 3/1/2007
IA
Kentucky 8/8/2022
IA
West Virginia 8/5/2022
B
Maryland 5/13/2010
B
Wisconsin 5/8/2014

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
B. RILEY WEALTH ADVISORS, INC. (CRD#:115927)
324 20th Street, Ashland, KY 41101
Huntington, WV
Registered with this firm since 8/5/2022
B
B. RILEY WEALTH MANAGEMENT (CRD#:2543)
324 20th Street, Ashland, KY 41101
Huntington, WV
Registered with this firm since 3/1/2007
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/01/2007 - 12/31/2022 B RILEY WEALTH MANAGEMENT (CRD#:2543) ASHLAND, KY
IA
 10/19/2006 - 03/01/2007 CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405) ASHLAND, KY
B
 09/26/2006 - 03/01/2007 CAPITAL SECURITIES OF AMERICA, INC. (CRD#:36405) ASHLAND, KY
B
 06/01/1996 - 09/05/2006 NATCITY INVESTMENTS, INC. (CRD#:17490) ASHLAND, KY
B
 01/04/1999 - 12/31/2001 NATCITY INSURANCE SERVICES, INC. (CRD#:16989) CLEVELAND, OH
B
 08/03/1998 - 01/04/1999 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 05/05/1994 - 08/03/1998 INDEPENDENT FINANCIAL SECURITIES, INC. (CRD#:19924)
B
 08/31/1993 - 06/01/1996 NATIONAL CITY INVESTMENTS CORPORATION (CRD#:17365)
B
 03/02/1992 - 09/09/1993 LIBERTY SECURITIES CORPORATION (CRD#:14416) PURCHASE, NY
B
 01/22/1991 - 03/09/1992 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 04/18/1989 - 01/22/1991 SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (CRD#:7059) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.