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CLIFFORD JOHN BROTT JR
C J BROTT
CRD#: 31829
IA
Investment Adviser
B
Broker
CAPITAL IDEASCRD#: 114352 12720 HILLCREST RD
SUITE 910
DALLAS, TX 75230
RHODES SECURITIES, INC.CRD#: 19610 12720 Hillcrest Dr
Ste 910
Dallas, TX 75230
Registration History
19751980198519901995200020052010201520202025IACAPITAL IDEAS (CRD# 114352)1998 - Present (26 years)BRHODES SECURITIES, INC. (CRD# 19610)2020 - Present (4 years)BALLIANCE FINANCIAL GROUP, INC. (CRD# 28538)2006 - 2020 (13 years)BRIVERSTONE WEALTH MANAGEMENT, INC. (CRD# 40418)1998 - 2006 (8 years)BWEBER INVESTMENT CORPORATION (CRD# 28346)1991 - 1998 (7 years)BWEBER, HALL, SALE & ASSOCIATES... (CRD# 876)1971 - 1991 (19 years)
License(s)

State Registrations

B
California 4/16/2020

B
New York 11/9/2022

B
Florida 10/6/2023

B
North Carolina 4/16/2020

B
Georgia 12/8/2020

B
Ohio 10/10/2023

B
Illinois 4/16/2020

B
Tennessee 10/6/2023

B
Massachusetts 1/2/2024

IA
Texas 5/1/1998

B
Minnesota 10/6/2023

B
Texas 4/16/2020

B
Mississippi 10/6/2023

B
Virginia 11/13/2020

B
New Jersey 4/16/2020

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL IDEAS (CRD#:114352)
12720 HILLCREST RD SUITE 910, DALLAS, TX 75230
Registered with this firm since 5/1/1998

B
RHODES SECURITIES, INC. (CRD#:19610)
12720 Hillcrest Dr Ste 910, Dallas, TX 75230
Registered with this firm since 4/16/2020

Previous Registration(s)
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B
05/05/2006 - 04/22/2020 ALLIANCE FINANCIAL GROUP, INC. (CRD#:28538) DALLAS, TX
B
05/01/1998 - 05/08/2006 RIVERSTONE WEALTH MANAGEMENT, INC. (CRD#:40418) AUSTIN, TX
B
05/16/1991 - 05/21/1998 WEBER INVESTMENT CORPORATION (CRD#:28346) DALLAS, TX
B
06/07/1971 - 05/31/1991 WEBER, HALL, SALE & ASSOCIATES, INC. (CRD#:876) DALLAS, TX
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B
Broker
IA
Investment Adviser
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.