Mark Rhoades has been Managing Partner of Phoenix Wealth Advisors since April 2018, is a control person of the firm and directly owns between 50% and 75% of it.
Phoenix Wealth Advisors Inc. is a Chapel Hill, NC firm with $641M under management, 1,592 clients and 7 advisers in one office, as of its July 2026 filing.
Mark Rhoades’ longest registration is the current one, 10 years at Phoenix Wealth Advisors since 2016. Before joining Phoenix Wealth Advisors in 2016, Mark Rhoades was registered through Morgan Stanley and Citigroup Global Markets Inc.
- Morgan Stanley– · 7 yearsDurham, NC · Adviser representative · Firm CRD 149777
- Citigroup Global Markets Inc.– · 2 yearsDurham, NC · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Mark Rhoades is registered as an investment adviser representative in 2 states. Each was approved in October 2016.
- North CarolinaSince 28 October 2016
- TexasSince 18 October 2016
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 10 | General Securities Sales Supervisor - General Module Examination | 22 August 2018 |
| Series 9 | General Securities Sales Supervisor - Options Module Examination | 11 June 2018 |
| Series 65 | Uniform Investment Adviser Law Examination | 16 May 2006 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 April 2006 |
| Series 7 | General Securities Representative Examination | 12 April 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Sales Supervisor - General Module Examination
- Name
- General Securities Sales Supervisor - Options Module Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Mark Joseph Rhoades
- CRD
- 5098868
- Firm
- Phoenix Wealth Advisors · CRD 118412
- Role
- Managing Partner
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2006
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Mark Rhoades work?
Mark Rhoades has been Managing Partner of Phoenix Wealth Advisors Inc. since April 2018, and is a control person of the firm.
Is Mark Rhoades a financial advisor?
Yes. Mark Rhoades has a current investment-adviser registration in North Carolina and Texas, through Phoenix Wealth Advisors since October 2016.
How many years of experience does Mark Rhoades have?
Mark Rhoades has 20 years in the financial industry, since April 2006, across 3 adviser firms.
What exams has Mark Rhoades passed?
Mark Rhoades has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 9 and Series 10. The earliest, the Series 7, was passed in April 2006. FINRA credited Mark Rhoades with the SIE, which began in October 2018.
Where did Mark Rhoades work before Phoenix Wealth Advisors?
Before Phoenix Wealth Advisors, Mark Rhoades was registered through Citigroup Global Markets Inc., June 2006 to June 2009.
Is Mark Rhoades registered with FINRA?
Yes. Mark Rhoades has a current broker registration, under CRD 5098868.
Source: FINRA BrokerCheck
How can I verify Mark Rhoades’ record?
Search CRD 5098868 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Mark Rhoades’ full registration record.