GR
GR
Gene Rhoades
36 Years of Experience
Ashland, KY
4 DisclosuresBroker
Gene Rhoades is a registered investment advisor at Cetera Investment Advisers LLC, based in Ashland, KY, with 36 years of industry experience. Gene operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
Loading...
Location
324 20th Street, Ashland, KY, 41101
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
August 2012Settled
Customer Dispute
July 2008Settled
Customer Dispute
January 2006Settled
Customer Dispute
August 2004Settled
Other Business Activities
Gene is a 1/3 owner of RRK Holdings, a corporation used to purchase the office building where his firm is located, since 2010. He helped with the down payment and spends minimal time on this activity.
Employment History
Current Registrations
Cetera Investment Advisers LLC
August 2025 - Present · 9 mos
Cetera Wealth Services, LLC
August 2025 - Present · 9 mos
Cetera Wealth Services, LLCBroker
August 2025 - Present · 9 mos
Previous Registrations
B. Riley Wealth Advisors, INC.
August 2022 - August 2025 · 3 yrs
B. Riley Wealth ManagementBroker
March 2007 - August 2025 · 18 yrs 5 mos
B Riley Wealth Management
March 2007 - December 2022 · 15 yrs 9 mos
Capital Securities of America, INC.
October 2006 - March 2007 · 5 mos
Capital Securities of America, INC.Broker
September 2006 - March 2007 · 6 mos
Natcity Insurance Services, INC.Broker
January 1999 - December 2001 · 2 yrs 11 mos
Liberty Securities CorporationBroker
August 1998 - January 1999 · 5 mos
Natcity Investments, INC.Broker
June 1996 - September 2006 · 10 yrs 3 mos
Independent Financial Securities, INC.Broker
May 1994 - August 1998 · 4 yrs 3 mos
National City Investments CorporationBroker
August 1993 - June 1996 · 2 yrs 10 mos
Liberty Securities CorporationBroker
March 1992 - September 1993 · 1 yr 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1991 - March 1992 · 1 yr 2 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
April 1989 - January 1991 · 1 yr 9 mos
State Registrations12 states
DEFLGAINKYMDNCNYOHSCWIWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.