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DR

D. W. Rodgers

Some features on this profile are disabled
CRD#: 2842993
DR

Professional summary

D. Wray Rodgers was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

D. is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, D. had worked at 2 firms, which includes ICBA SECURITIES, VINING-SPARKS IBG LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

D Wray Rodgers | D. Ray Rodgers | Wray 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 4, 1997 - December 17, 2019

ICBA SECURITIES

BD
CRD#: 24088
MEMPHIS, TN
Past

February 18, 1997 - May 20, 2022

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/17/1997
General Securities Representative Examination

Current Firm

IS
ICBA SECURITIES
IBAA BANKERS SECURITIES CORPORATION | ICBA SECURITIES | IBAA SECURITIES CORPORATION

CRD#: 24088 / SEC#: , 8-40867

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
775 Ridge Lake Blvd. Suite 190, Memphis, TN 38120
Mailing Address
775 Ridge Lake Blvd. Suite 190, Memphis, TN 38120
Phone number
(901) 762-5309
Established
Delaware since 11/09/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICBA SERVICES NETWORK, INC.OWNER
BATES, THOMAS EUGENEDIRECTOR7598713
BITTINGER, AZA HARRISON JR.DIRECTOR4169602
FOSTER, BRENDA KAYDIRECTOR
GUERRA, GABEDIRECTOR7910566
HEID, BLAKE AARONDIRECTOR7598685
JORDE, TERRY JEANSECRETARY2643666
KINZER, CAROL ANNFINANCIAL AND OPERATIONS PRINCIPAL4519471
REBER, JAMES LEOPRESIDENT/CEO/CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER1809879
ROMERO RAINEY, REBECA MARIADIRECTOR6989824
TWEDDLE, KEVIN MATTHEWDIRECTOR7152050
WANICHEK, CRAIG ALANDIRECTOR2352101

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.

Company Information

ICBA SECURITIES

CRD#: 24088

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