James T. 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.
James Timothy Rodgers, who also goes by James T Rodgers, Jim Rodgers, was a registered financial advisor .
James is a previously registered financial advisor and started their career in finance in 1988. James had worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2001 - January 22, 2010
ASHLAND RESEARCH, LLC
July 19, 1994 - October 8, 1998
WEDBUSH SECURITIES INC.
May 11, 1993 - July 19, 1994
UBS FINANCIAL SERVICES INC.
May 10, 1991 - June 1, 1993
WELLS FARGO CLEARING SERVICES, LLC
April 20, 1988 - May 13, 1991
DAIN RAUSCHER 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 8
Date: 9/30/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current firm
No current employment
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.
