Michael A. 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.
Michael Anthony Rodgers, who also goes by Michael A Rodgers, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1969. Michael had worked at 13 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 1, 1996 - November 3, 2020
BOENNING & SCATTERGOOD, INC.
January 1, 1991 - November 5, 1996
FIRST UNION CAPITAL MARKETS CORP.
July 30, 1990 - January 1, 1991
BUTCHER & SINGER INC.
August 12, 1987 - August 9, 1990
GRUNTAL & CO., L.L.C.
September 16, 1977 - December 27, 1983
PRUDENTIAL EQUITY GROUP, LLC
September 14, 1977 - August 19, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
December 10, 1974 - September 22, 1977
DEAN WITTER & CO. INCORPORATED
January 30, 1974 - November 18, 1974
HALSEY, STUART & CO., INC.
April 18, 1972 - February 27, 1976
BACHE & CO., INCORPORATED
April 7, 1971 - May 6, 1972
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
December 1, 1969 - April 23, 1971
LOEB RHOADES & CO
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 1
Date: 11/19/1959
Registered Representative ExaminationCurrent Firm
BOENNING & SCATTERGOOD, INC.
CRD#: 100 / SEC#: 801-68111, 8-15543
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BOENNING & SCATTERGOOD HOLDINGS | HOLDING CO OF BOENNING & SCATTERGOOD INC | |
| MADDALONI, ANDREW MICHAEL | DIRECTOR | 2825865 |
| MARA, GEORGE MICHAEL JR | CHIEF COMPLIANCE OFFICER | 1574331 |
| MARA, GEORGE MICHAEL JR | PRESIDENT | 1574331 |
| SCATTERGOOD, HAROLD FRANCIS JR | DIRECTOR | 412133 |
| STANNARD, JEFFREY TAPPAN | DIRECTOR | 1337225 |
| WEIGAND, DALE ROBERT | DIRECTOR, CHIEF FINANCIAL OFFICER,FINOP | 1374549 |
Regulatory assets under management
| Total Number of Accounts | 1,321 |
| AUM (Assets Under Management) | $ 1,157,621,985 |
Disclosures
| Regulatory Event | 22 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
