Dana Rhodes has been Chief Operating Officer of Sigma Planning since March 2025, is a control person of the firm and directly owns under 5% of it. Dana Rhodes holds a Bachelor of Arts in Spanish from the University of Texas at Austin.
Sigma Planning Corporation is an Ann Arbor, MI firm with $6.1B under management, 30,916 clients and 471 advisers across 337 offices, as of its May 2026 filing.
Dana Rhodes is Chief Operating Officer of Axtella. She has over 20 years of financial services experience and works with financial professionals to identify their product and compliance needs. She helped establish the NOVA Women's Collective, which supports women in the industry.
Dana Rhodes’ longest registration was 3 years at NFP Advisor Services, LLC (2012–2016).
- Kestra Advisory Services, LLC– · 2 yearsAustin, TX · Adviser representative · Firm CRD 283330
- NFP Advisor Services, LLC– · 3 yearsAustin, TX · Adviser representative · Firm CRD 42046
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 10 December 2012 |
| Series 7 | General Securities Representative Examination | 16 March 2006 |
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 22 February 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 1 October 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 30 May 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Dana Elise Rhodes
- CRD
- 4125640
- Firm
- Sigma Planning · CRD 110692
- Role
- Chief Operating Officer
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- axtella.com
Where does Dana Rhodes work?
Dana Rhodes has been Chief Operating Officer of Sigma Planning Corporation since March 2025, and is a control person of the firm.
Does Dana Rhodes have a current investment-adviser registration?
Dana Rhodes has a current broker registration and no current investment-adviser registration.
What exams has Dana Rhodes passed?
Dana Rhodes has passed 5 licensing exams: the Series 6, Series 63, Series 26, Series 7 and Series 66. The earliest, the Series 6, was passed in May 2000. FINRA credited Dana Rhodes with the SIE, which began in October 2018.
Where was Dana Rhodes previously registered as an investment adviser?
Dana Rhodes has past investment-adviser registrations through Kestra Advisory Services, LLC, April 2016 to August 2018; NFP Advisor Services, LLC, December 2012 to September 2016, across 2 firms.
Is Dana Rhodes registered with FINRA?
Yes. Dana Rhodes has a current broker registration, under CRD 4125640.
Source: FINRA BrokerCheck
How can I verify Dana Rhodes’ record?
Search CRD 4125640 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Dana Rhodes’ full registration record.
Brandon RydellPresident
Andrew KilbargerChief Compliance Officer
John McClellanChief Risk and Business Officer- Randolph PistorChief Legal Officer
- Jerome RydellCEO, Chairman and Trustee of the Jerome S. Rydell Revocable Living Trust Dated 12/21/1998, As Amended and Restated on 10/23/2020
- Mark SteinmanAvp Operations