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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

JAMES LEE RODGERS

Advisor at ARKADIOS WEALTH ADVISORS

Angleton, TX

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Search this name across graphsid dfx:ria:0555e9dd-e836-250e-acbc-0ac004e2050b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:11 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Sep 14, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ARKADIOS WEALTH ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 1, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Nov 1, 1996
First registration: Sep 14, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 2808509

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ARKADIOS WEALTH ADVISORS	Bd affiliated wealth	Oct 4, 2021	n/a	yes	Angleton, TX	Current employment
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Nov 19, 2013	Oct 18, 2021	no	ANGLETON, TX\|TYLER, TX	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 30, 2013	Nov 18, 2013	no	ANGLETON, TX\|TYLER, TX	Previous registration
COMMONWEALTH FINANCIAL NETWORK	National bd RIA	Feb 17, 2009	Oct 23, 2013	no	SUGAR LAND, TX\|ANGLETON, TX\|TYLER, TX	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 13, 2002	Feb 23, 2009	no	ANGLETON, TX\|PEARLAND, TX	Previous registration
INVESTMENT PROFESSIONALS, INC.	Former SEC adviser	Sep 14, 2001	Oct 21, 2002	no	CLUTE, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SAGEPOINT FINANCIAL, INC.	ARKADIOS WEALTH ADVISORS	Oct 18, 2021	Oct 4, 2021	-14	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	SAGEPOINT FINANCIAL, INC.	Nov 18, 2013	Nov 19, 2013	1	Firm change	Other
COMMONWEALTH FINANCIAL NETWORK	SECURITIES AMERICA ADVISORS, INC.	Oct 23, 2013	Sep 30, 2013	-23	Firm change	Other
LPL FINANCIAL LLC	COMMONWEALTH FINANCIAL NETWORK	Feb 23, 2009	Feb 17, 2009	-6	Firm change	Other
INVESTMENT PROFESSIONALS, INC.	LPL FINANCIAL LLC	Oct 21, 2002	Nov 13, 2002	23	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
133763:288863:TX:2021-10-18	Oct 18, 2021	Oct 4, 2021	TYLER, TX	Firm change

Relationships

Registered with (6)

→ ARKADIOS WEALTH ADVISORSRegistered adviserregistration: current employment
Oct 4, 2021 to presentfactForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Nov 19, 2013 to Oct 18, 2021factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 30, 2013 to Nov 18, 2013factForm ADV
→ COMMONWEALTH FINANCIAL NETWORKRegistered adviserregistration: previous registration
Feb 17, 2009 to Oct 23, 2013factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 13, 2002 to Feb 23, 2009factForm ADV
→ INVESTMENT PROFESSIONALS, INC.Registered adviserregistration: previous registration
Sep 14, 2001 to Oct 21, 2002factForm ADV

Dated events

No dated event names this entity yet.