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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

GENE RANDALL RHOADES

Advisor at CETERA INVESTMENT ADVISERS LLC

ASHLAND, KY | HUNTINGTON, WV

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Search this name across graphsid dfx:ria:32a0bb9b-2a30-ada3-8a8b-37b4d2cf33af

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Oct 19, 2006 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: CETERA INVESTMENT ADVISERS LLC
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: Jun 12, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Jun 12, 1989
First registration: Oct 19, 2006
Dual registered: yes, broker-dealer
Other names: RANDY RHOADES|GENE RANDALL II RHOADES
IAPD individual key: 1939639

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
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Aug 7, 2025	n/a	yes	ASHLAND, KY\|HUNTINGTON, WV	Current employment
B. RILEY WEALTH ADVISORS, INC.	Bd affiliated wealth	Aug 5, 2022	Aug 20, 2025	no	Ashland, KY\|Huntington, WV	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Mar 1, 2007	Dec 31, 2022	no	Ashland, KY\|Memphis, TN\|HARTVILLE, OH\|ASHLAND, KY\|Huntington, WV	Previous registration
CAPITAL SECURITIES OF AMERICA, INC.	n/a	Oct 19, 2006	Mar 1, 2007	no	HUNTINGTON, WV\|HARTVILLE, OH\|ASHLAND, KY	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
B. RILEY WEALTH ADVISORS, INC.	CETERA INVESTMENT ADVISERS LLC	Aug 20, 2025	Aug 7, 2025	-13	Firm change	Ibd to ibd
B RILEY WEALTH MANAGEMENT	B. RILEY WEALTH ADVISORS, INC.	Dec 31, 2022	Aug 5, 2022	-148	Bulk transfer	Ibd to ibd
CAPITAL SECURITIES OF AMERICA, INC.	B RILEY WEALTH MANAGEMENT	Mar 1, 2007	Mar 1, 2007	0	Firm change	Other

Relationships

Registered with (4)

→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: current employment
Aug 7, 2025 to presentfactForm ADV
→ B. RILEY WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Aug 5, 2022 to Aug 20, 2025factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Mar 1, 2007 to Dec 31, 2022factForm ADV
→ CAPITAL SECURITIES OF AMERICA, INC.Registered adviserregistration: previous registration
Oct 19, 2006 to Mar 1, 2007factForm ADV

Dated events

Occurred
Aug 20, 2025
Advisor changed firm
Gene Randall Rhoades left B. Riley Wealth Advisors, Inc. for Cetera Investment Advisers Llc (registered 2025-08-07)
Form ADVobserved 4 days ago