Rick L. Rodgers

RODGERS & ASSOCIATES

LANCASTER, PA 17601

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CRD#: 1247022

Professional summary

Rick Lee Rodgers, CFP®, who also goes by Rick L Rodgers, Ricky Lee Rodgers, is a registered financial advisor currently at RODGERS & ASSOCIATES located in Lancaster, Pennsylvania.

Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Rick has worked at 5 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick L Rodgers | Ricky Lee Rodgers

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

PARTNER- LMM ASSOCIATES. RODGERS & ASSOCIATES - OWNER;ADVISER PLAN SMART, LLC - BOOK SALES; SPEAKING SAPIENT, LLC - RENTAL REAL ESTATE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Lee Rodgers's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1999

Experience

Current

October 11, 2002 - Present

RODGERS & ASSOCIATES

Office #1: 2025 Lititz Pike, Lancaster, PA 17601

RIA

CRD#: 121700

LANCASTER, PA

Past

January 2, 2004 - December 31, 2005

GIRARD SECURITIES, INC.

RIA

CRD#: 18697

LANCASTER, PA

Past

September 6, 2002 - December 31, 2005

GIRARD SECURITIES, INC.

CRD#: 18697

LANCASTER, PA

Past

December 18, 1996 - September 26, 2002

SENTRA SECURITIES CORPORATION

RIA

CRD#: 10249

LANCASTER, PA

Past

December 12, 1996 - September 26, 2002

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

Past

January 12, 1990 - December 12, 1996

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

March 22, 1984 - January 30, 1990

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RODGERS & ASSOCIATES

CRD#: 121700 / SEC#: 801-62118

RIA

Registered Investment Advisory firm - (7/3/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/3/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(10/11/2002)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/16/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/3/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 4/27/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/17/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/14/1997

General Securities Principal Examination

Current Firm

RODGERS & ASSOCIATES

CRD#: 121700 / SEC#: 801-62118

RIA

Registered Investment Advisory firm - (7/3/2003 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/3/2003 Terminated)

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Contact information

Main Address

2025 Lititz Pike, Lancaster, PA 17601

Mailing Address

Phone number

(717) 560-3800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RA FINANCIAL SERVICES FORM ADV PART 2A (3/5/2025)

RODGERS & ASSOCIATES, LTD. FORM ADV PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	3,378
AUM (Assets Under Management)	$ 1,488,109,570

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Rick L. Rodgers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Lee Rodgers's CRS (Customer Relationship Summary).

Certified licenses

Experience

GIRARD SECURITIES, INC.

GIRARD SECURITIES, INC.

SENTRA SECURITIES CORPORATION

SENTRA SECURITIES CORPORATION

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

RODGERS & ASSOCIATES

State Registrations and Notice Filings

Exams

Series 65

Date: 10/16/1992

Series 63

Date: 4/3/1984

Series 3

Date: 4/27/1984

Series 7

Date: 3/17/1984

Series 24

Date: 3/14/1997

Current Firm

RODGERS & ASSOCIATES

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RODGERS & ASSOCIATES

TRUST BUT VERIFY

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