RT
Rodger E. Thomas
NFSG
ROSELLE PARK, NJ
Some features on this profile are disabled
CRD#: 4010563
RT
Professional summary
Rodger Erik Thomas, who also goes by Rod Thomas, Rodger Drik Thomas, Rodger E Thomas, Rodger Thomas, Thomas Rod, Rodger Erik Thomas, is a registered financial advisor currently at NFSG CORPORATION located in Roselle Park, New Jersey and NEWBRIDGE SECURITIES CORPORATION located in Boca Raton, Florida.
Rodger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Rodger has worked at 11 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rod Thomas | Rodger Drik Thomas | Rodger E Thomas | Rodger Thomas | Thomas Rod | Rodger Erik Thomas
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.
1) SHIELD CAPITAL ADVISORY DBA - ROSELLE PARK, NJ, PRESIDENT; FINANCIAL PLANNING FOR CLIENTS; INVESTMENT RELATED BUSINESS; 100% OF TIME SPENT. 2) LIFE AND HEALTH INSURANCE AGENT - ROSELLE PARK, NJ - LIFE AND HEALTH INSURANCE AGENT; WRITE INSURANCE POLICIES; INVESTMENT RELATED BUSINESS; 5% OF TIME SPENT. 3) ROSELLE PARK HOMETOWN HEROES - VOLUNTEER PRESIDENT OF ORGANIZATION THAT PROCURES BANNERS FOR LOCAL VETERANS TO DISPLAY IN TOWN - 5% TIME SPENT. NO CHECK WRITING AUTHORITY. NO COMPENSATION OR SECURITIES BUSINESS DONE. NON-INVESTMENT RELATED. 4) BOY SCOUT TROOP 58 ROSELLE PARK - VOLUNTEER TREASURER - ADULT LEADER FOR EXISTING TROOP FOR SCOUTS - ORGANIZE TROOP CAMPOUTS: 5% TIME SPENT NO COMPENSATION OR SECURITIES BUSINESS DONE, NON-INVESTMENT RELATED. 5) ROSELLE PARK COMMUNITY UNITED METHODIST CHURCH: 1/2015- SUCCESSIVE 2 YEAR TERMS, TRUSTEE AND LAY SERVANT, WORKING AS A MEMBER OF THE TRUSTEES BOARD AND FINANCE BOARD AS PART OF LAY SERVANT DUTIES. INCLUDES MANAGING AND THE UPKEEP OF FACILITIES AND DISCUSSING FINANCING OF NECESSARY PROJECTS.
CRS (Client Relationship Summary) - RIA
Click below to view Rodger Erik Thomas'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®
NoneExperience
Current
October 30, 2018 - Present
NFSG CORPORATION
RIA
CRD#: 130814
ROSELLE PARK, NJ
Current
October 24, 2018 - Present
NEWBRIDGE SECURITIES CORPORATION
Office #1: 1200 North Federal Highway Suite 400, Boca Raton, FL 33432BD
CRD#: 104065
Boca Raton, FL
Past
August 20, 2018 - October 17, 2018
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
Livingston, NJ
Past
August 20, 2018 - October 17, 2018
KOVACK SECURITIES INC.
BD
CRD#: 44848
Livingston, NJ
Past
July 23, 2018 - August 6, 2018
SCF INVESTMENT ADVISORS, INC.
RIA
CRD#: 123608
LIVINGSTON, NJ
Past
December 16, 2016 - August 6, 2018
SCF SECURITIES, INC.
BD
CRD#: 47275
LIVINGSTON, NJ
Past
January 19, 2011 - August 21, 2013
B. RILEY WEALTH ADVISORS, INC.
RIA
CRD#: 115927
ISELIN, NJ
Past
June 11, 2010 - December 22, 2016
NATIONAL SECURITIES CORPORATION
BD
CRD#: 7569
EDISON, NJ
Past
October 5, 2009 - May 11, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
NEW YORK, NY
Past
October 5, 2009 - May 11, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
NEW YORK, NY
Past
August 16, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
RIA
CRD#: 5979
NEW YORK, NY
Past
January 2, 2003 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
NEW YORK, NY
Past
October 14, 1999 - December 19, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(11/1/2018)
RR
Illinois(10/31/2018)
RR
Indiana(10/31/2018)
RR
Louisiana(10/31/2018)
IAR
Louisiana(1/15/2019)
RR
Michigan(10/31/2018)
RR
Montana(10/31/2018)
RR
New Jersey(10/30/2018)
IAR
New Jersey(10/30/2018)
RR
New York(10/31/2018)
RR
North Carolina(8/18/2020)
RR
Pennsylvania(10/31/2018)
RR
South Carolina(1/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NC
NFSG CORPORATION
NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.
CRD#: 130814 / SEC#: 801-68448
RIA
Registered Investment Advisory firm - (11/6/2007 Approved)Arizona
Registered Investment Advisory firm - (11/8/2007 Terminated)California
Registered Investment Advisory firm - (11/8/2007 Terminated)Connecticut
Registered Investment Advisory firm - (11/8/2007 Terminated)Florida
Registered Investment Advisory firm - (12/12/2007 Terminated)Illinois
Registered Investment Advisory firm - (11/6/2007 Terminated)Indiana
Registered Investment Advisory firm - (11/8/2007 Terminated)Nevada
Registered Investment Advisory firm - (12/17/2007 Terminated)New Jersey
Registered Investment Advisory firm - (11/14/2007 Terminated)North Carolina
Registered Investment Advisory firm - (11/8/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (11/13/2007 Terminated)Tennessee
Registered Investment Advisory firm - (12/8/2007 Terminated)Texas
Registered Investment Advisory firm - (11/8/2007 Terminated)Virginia
Registered Investment Advisory firm - (11/8/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 North Federal Highway Suite 400, Boca Raton, FL 33432
Mailing Address
Phone number
(954) 334-3450
Established
Firm type
Fiscal year end
# of Employees
89
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,587 |
| AUM (Assets Under Management) | $ 813,494,847 |
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.
