The information published within this web site is intended for U.S. residents only. Services and investment products offered are available only in those jurisdictions where Rhodes Securities, Inc. is registered to do business. This is not a solicitation to buy or sell securities.Neither Rhodes Securities, Inc. nor its’ professionals are responsible for the content available on any other Internet sites linked to this site. Access to any other sites linked to this one is at the user’s own risk. Rhodes Securities, Inc. is a member of FINRA, SIPC and SIFMA. Our corporate offices are located at 306 West 7th Street, Suite 1000, Fort Worth, Texas 76102. Insurance and investment advisory products offered through Rhodes Investment Advisors, Inc.
RhodesSecurities, Inc. respects your right to privacy and recognizes our responsibility for protecting the privacy and security of the personal information we receive from you. We have always been committed to securing the confidentiality and integrity of your personal information. We are proud of our privacy practices and want our current and prospective customers to understand what information we collect and how we use it. This notice refers to Rhodes Securities, Inc. and its affiliated company, Rhodes Investment Advisors, Inc., and we refer to such companies collectively herein using the terms “we” or “our.”
We gather and keep only information about you that is necessary for us to provide the services requested by you, administer your business with us, design and improve the services we offer and comply with the laws and regulations that govern us.
We may collect the following types of ‘non-public personal information’ about you.
§ Personally Identifiable Information (PII).
§ Information about your identity, such as your name, address, and social security number.
§ Information about your transactions; and
§ Information about your personal financial profile, such as your risk tolerance levels, goals and objectives, assets, liabilities, savings, and investments.
§ Non-Personally Identifiable Information (Non-PII).
§ Browser type, device ID, and IP address.
We may use your information to:
§ Verify investor eligibility.
§ Facilitate transactions and fulfill service requests.
§ Respond to inquiries and customer service requests.
§ Deliver communications and regulatory updates.
§ Maintain regulatory records.
§ Improve Site experience and compliance.
§ Provide good faith disclosures to regulators who have regulatory authority over us.
We collect non public personal information about our clients,such as you, from the following sources:
§ Information we receive from you on contracts or other forms, such as risk tolerance questionnaires and/or investment policy statements.
§ Information about your transactions with our affiliates, or others.
§ If you visit our website, we collect information via a web server (often referred to as a “cookie”). Cookies indicate where a site visitor has been online and what has been viewed.
We only share your non-public personal information with your representative within our firm, affiliates, and non-affiliated companies or individuals as permitted by law, such as mutual funds, insurance companies, and other product vendors, or to comply with legal or regulatory requirements. With your approval, we may also share information with your advisors, which can include your accountant and/or attorney. Additionally, in the normal course of our business, we may disclose information we collect about you to companies or individuals that contract with us to perform service functions such as:
§ Record keeping.
§ Computer related services.
§ Good faith disclosure to regulators who have regulatory authority over the company.
Companies we hire to provide support services are not allowed to use your personal information for their own purposes and are contractually obligated to maintain strict confidentiality. We limit their use of your personal information to the performance of the specific service we have requested. Notwithstanding the above, we will not release information about our customers or former customers unless we receive your prior written consent, we believe the recipient to be you or your authorized representative, or we are required by law to release information to the recipient.
We do not sell your personal information to anyone.
Information Security and Incident Response. We maintain written policies and procedures designed to protect the security and confidentiality of nonpublic personal information. Our program includes measures to:
§ Identify and assess risks of unauthorized access or use.
§ Implement and monitor safeguards appropriate to our business model.
§ Detect, respond to, and recover from security incidents affecting customer information.
If we determine that nonpublic personal information has been, or is reasonably likely to have been, accessed or used without authorization,we will notify affected individuals as soon as practicable, and no later than 30 days after that determination, except where a delay is requested by law enforcement.
Service Provider Oversight. We require third-party service providers with access to nonpublic personal information to:
§ Maintain appropriate protections.
§ Notify us promptly of any unauthorized access or use.
§ Cooperate in incident responseand mitigation efforts.
Additionally, we conduct ongoing due diligence and monitoring of service providers consistent with regulatory requirements.
Scope of Individuals Covered. These protections apply to current and former clients, as well as to individuals who provide information to us in connection with a potential advisory or brokerage relationship, even if no account is opened or no contract is signed.
Privacy Notice Delivery under Regulation SP. We will provide initial privacy notices consistent with Regulation S-P. Consumers will receive notice before any non-public persona linformation is shared with third parties, and customers will receive notice before a customer relationship is established. When a relationship is initiated by telephone and providing notice before hand materially delays a transaction, the notice may be delivered within the Customer Agreement Form, provided you consent. Annual privacy notices will be provided to all active customer accounts unless the privacy policy remains unchanged.
We maintain physical, electronic, and procedural safeguards to guard your personal information. We also restrict access to your personal and financial data only to our authorized associates who need these records. Furthermore, we will continue to adhere to the privacy policies and practices described in this notice even after your account is closed or becomes inactive.
We may track users by IP address, by cookies (e.g.,pieces of code or text placed on your computer by us or third parties when you browse our websites), by web beacons and other data collection methods for broad demographic data, as well as to help make sure that we are delivering the information you want. Our website sends cookies to your web browser (if your browser’s preferences allow it) to collect data when you browse our website(s). Cookie settings can be controlled in your Internet browser to automatically reject some forms of cookies. If you view our website without changing your cookie settings, you are indicating your consent to receive all cookies from our website(s). If you do not allow cookies, some features and functionality of our website(s) may not operate as expected. In addition to cookies, we place technological tools (and allow certain third parties to place technological tools) such as tags and beacons (e.g., code scripts that are primarily used to track visitors’activities on our website(s) by web analytics software), Internet Protocol (IP)addresses, and other tools, to collect your data for the purposes listed in this Privacy Policy. “Do Not Track” signals are options available on your browser to tell operators of websites that you do not wish to have your online activity tracked. Our websites operate no differently if these “Do NotTrack” signals are enabled or disabled.
California customers are entitled to request information relating to whether a business has disclosed personal information to any third partiesfor the third parties’ direct marketing purposes. That notice will identify the categories of information shared and will include a list of the third parties and affiliates with which it was shared, along with their names and addresses. If you are a California resident and would like to make such a request, please submit your request in writing at the address information below.
Opt-Out Provisions
We have taken steps to assure that all third-party vendors have confidentiality clauses to protect your information. Shouldwe not have such written agreements in place, then you have the option to “opt-out” of the sharing of this information. If you desire to opt out for those instances that we do not have the confidentiality clause, or you do not wish to receive marketing materials from us, you should provide us with written instructions forwarded to Chief Compliance Officer at the address set out above. Additionally, the law allows you to "opt out" of only certain kinds of information sharing with third parties. We do not share personal information about you with any third parties that trigger this opt-out right. This means you are already opted out of these sharing situations.
If you have questions regarding our privacy policy, please contact us at (817) 334-0455.
(12/2025)
Rhodes Securities, Inc. has developed a Business Continuity Plan to address how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, flexibility will be key in responding to actual events as they occur. With that in mind, we are providing our customers with this general information regarding our business continuity plan.
Contacting Us—If, after a significant business disruption you cannot contact us at the Rhodes Securities’ corporate office phone number (817-334-0455), you should call one of our alternate phone numbers (817-926-2851 or 817-237-2922) or access our web site at www.rhodessecurities.com for more information. If you cannot reach us through either of these means, as a client of Rhodes Securities, Inc., we recognize you may need to access your account to sell a position or request a check before we re-establish telephone service. During this time, First Clearing, our clearing firm, will assist you with sell/liquidation orders and provide check disbursements, if needed. If you cannot contact us, please call First Clearing for assistance at 877-496-3223.
Our Business Continuity Plan—We intend to quickly recover and resume business operations after a significant business disruption and respond appropriately by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of each particular disruption.
Rhodes Securities’ business continuity plan, at a minimum, addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical locations of employees; critical supplier, contractor, bank, and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
First Clearing Correspondent Services (First Clearing) provides a comprehensive suite of solutions to help independent, unaffiliated retail broker dealers run more efficiently, grow more confidently and protect more effectively. These solutions include trade execution and clearance, securities settlement, record keeping, client confirmations and statements, broker workstation technology, and access to full range of investment products and services.
Varying Disruptions—Significant business disruptions can vary in their scope, such as: only affecting our firm; the single building housing our firm; the business district where our firm is located; the city where we are located; or our entire region of the country. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In a disruption to only our firm or the building housing our firm, we intend to transfer our operations to a local site when necessary and expect to recover and resume business within a few hours, or as soon as operationally possible. In a disruption affecting our business district, city, or geographic region, we will transfer our operations to a site outside of the affected area, and we intend to recover and resume business within twenty-four hours, also as soon as operationally possible. In either situation, we plan to continue in business, transfer operations to our clearing firm if necessary, and notify you through our website www.rhodessecurities.com , or through our emergency contact numbers (817-723-5779 or 817-237-2922), on how to contact us. If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customers’ prompt access to their funds and securities.
For more information—If you have any questions regarding our Business Continuity Plan or would like a printed copy of this notice, please contact Marilyn Zehntner at 817-334-0455 or mz@rsi2.com.
07/09
