Lita M. Pelko
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.
Lita Marie Pelko, CFP®, who also goes by Lita Marie Celia, was a registered financial professional .
Lita is a previously registered financial professional and started their career in finance in 1999. Lita had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
October 5, 2004 - October 1, 2024
RODGERS & ASSOCIATES
September 14, 2004 - December 31, 2005
GIRARD SECURITIES, INC.
September 14, 2004 - December 31, 2005
GIRARD SECURITIES, INC.
January 3, 2003 - August 30, 2004
OPPENHEIMER & CO. INC.
December 22, 1999 - January 3, 2003
CIBC WORLD MARKETS CORP.
Primary Firm SEC Registration
RODGERS & ASSOCIATES
CRD#: 121700 / SEC#: 801-62118
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
Current Firm
RODGERS & ASSOCIATES
CRD#: 121700 / SEC#: 801-62118
Contact information
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,378 |
| AUM (Assets Under Management) | $ 1,488,109,570 |
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.
