David G. Rodgers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Glen Rodgers, who also goes by David Glenn Rodgers, David Rodgers, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 14 firms and has passed the Series 63, SIE, Series 7, Series 15, Series 3 and Series 5 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2016 - October 12, 2016
MENSURA SECURITIES, LLC
February 18, 2015 - December 28, 2015
B. RILEY WEALTH MANAGEMENT
March 2, 2012 - February 18, 2015
WEDBUSH SECURITIES INC.
February 29, 2008 - October 21, 2011
RBC CAPITAL MARKETS, LLC
February 6, 2004 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
March 15, 2001 - February 6, 2004
RBC CAPITAL MARKETS, LLC
September 1, 1998 - February 1, 2001
ROBERTSON STEPHENS, INC.
February 24, 1998 - September 1, 1998
BANCAMERICA SECURITIES, INC.
December 3, 1996 - March 2, 1998
MESIROW FINANCIAL, INC.
September 10, 1996 - October 22, 1996
MORGAN KEEGAN & COMPANY, LLC
January 18, 1995 - August 20, 1996
WEDBUSH SECURITIES INC.
July 6, 1994 - January 18, 1995
JOHN G. KINNARD AND COMPANY, INCORPORATED
September 4, 1990 - July 12, 1994
WELLS FARGO CLEARING SERVICES, LLC
July 6, 1990 - September 4, 1990
BOETTCHER & COMPANY, INC.
May 31, 1988 - August 6, 1990
MORGAN STANLEY DW INC.
October 22, 1985 - August 2, 1988
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 15
Date: 9/11/1985
Foreign Currency Options ExaminationSeries 5
Date: 8/19/1985
Interest Rate Options ExaminationCurrent Firm
MENSURA SECURITIES, LLC
CRD#: 150064 / SEC#: , 8-68210
Contact information
FINRA licenses (19 States and Territories)
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.
