Mark E. 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.
Mark Edward Rodgers was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 16, 2013 - February 20, 2015
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
July 15, 2013 - February 20, 2015
PIPER SANDLER & CO.
October 21, 2010 - August 2, 2013
INVESCO MANAGED ACCOUNTS, LLC
January 5, 2000 - October 21, 2010
SEATTLE-NORTHWEST SECURITIES CORPORATION
March 11, 1997 - July 17, 2013
SEATTLE-NORTHWEST SECURITIES CORPORATION
October 4, 1995 - January 30, 1997
KEY INVESTMENTS INC.
April 27, 1992 - February 19, 1993
SEAFIRST INVESTMENT SERVICES, INC.
September 16, 1987 - April 25, 1992
SEAFIRST SECURITIES, INC.
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
Current Firm
PIPER JAFFRAY INVESTMENT MANAGEMENT, LLC
CRD#: 145876 / SEC#: 801-68637
Contact information
Red Flags
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