David M. 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 Maxwell Rodgers, who also goes by David M Rodgers, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 4 firms and has passed the Series 63, Series 82TO, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2017 - July 31, 2023
STILLPOINT CAPITAL, LLC
November 18, 2011 - September 1, 2015
SMI CAPITAL MARKETS LLC
October 30, 2002 - June 8, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 1997 - January 11, 2001
PRUDENTIAL EQUITY GROUP, LLC
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 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STILLPOINT CAPITAL, LLC
CRD#: 133146 / SEC#: , 8-66688
Contact information
FINRA licenses (52 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.
