Stephen R. Rodgers

PENDEX ADVISORS

RUSTON, LA

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CRD#: 1870455

Professional summary

Stephen Rudolph Rodgers, who also goes by Rudie Rodgers, S R Rodgers, is a registered financial advisor currently at PENDEX ADVISORS, LLC located in Ruston, Louisiana.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Stephen has worked at 6 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rudie Rodgers | S R 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.

PENDEX ADVISORS, LLC.INVESTMENT ADVISORY FIRM. OFFICE AT 1532 BONAPARTE, RUSTON, LA 71270 MANAGING DIRECTOR, PRESIDENT, MANAGING DIRECTOR. 120 HOURS PER MONTH. ALL PHASES OF AN I.A. INCLUDING RESEARCH, CLIENT DEVELOPMENT, INVESTMENT DECISION, ACCOUNTING, REGISTRATIONS, ETC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Rudolph Rodgers's 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®

None

Experience

Current

July 11, 2006 - Present

PENDEX ADVISORS, LLC

RIA

CRD#: 140497

RUSTON, LA

Past

December 23, 2010 - February 2, 2011

TRANSCEND CAPITAL

CRD#: 104483

AUSTIN, TX

Past

August 1, 2006 - December 9, 2010

NWT FINANCIAL GROUP, LLC

CRD#: 140145

ISSAQUAH, WA

Past

October 27, 2005 - July 11, 2006

SAMCO FINANCIAL SERVICES, INC.

CRD#: 30108

RUSTON, LA

Past

August 29, 2005 - October 27, 2005

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

January 2, 2003 - August 26, 2005

SAMCO FINANCIAL SERVICES, INC.

CRD#: 30108

PHOENIX, AZ

Past

September 20, 1990 - December 31, 2002

ARGENT INVESTMENT SERVICES, INC.

CRD#: 25624

RUSTON, LA

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

Louisiana
(7/11/2006)

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: 5/15/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 55

Date: 5/2/2000

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/21/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/3/1992

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 9/23/1991

Registered Options Principal Examination

Current Firm

PENDEX ADVISORS, LLC

PENDEX ADVISORS | RODGERS, STEPHEN RUDOLPH | PENDEX ADVISORS, LLC

CRD#: 140497 / SEC#:

Louisiana

Registered Investment Advisory firm - (6/13/2006 Approved)

Oregon

Registered Investment Advisory firm - (11/7/2007 Terminated)

Washington

Registered Investment Advisory firm - (10/5/2009 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).

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Contact information

Main Address

Ruston, LA

Mailing Address

Phone number

(318) 278-5553

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	19
AUM (Assets Under Management)	$ 3,381,471

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

Stephen R. Rodgers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Rudolph Rodgers's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSCEND CAPITAL

NWT FINANCIAL GROUP, LLC

SAMCO FINANCIAL SERVICES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

SAMCO FINANCIAL SERVICES, INC.

ARGENT INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/15/2006

Series 63

Date: 5/15/1990

Series 55

Date: 5/2/2000

Series 7

Date: 4/21/1990

Series 24

Date: 2/3/1992

Series 4

Date: 9/23/1991

Current Firm

PENDEX ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PENDEX ADVISORS, LLC

TRUST BUT VERIFY

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