Robert 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.
Robert Michael Rodgers was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 2007. Robert had worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, Series 7TO, SIE, Series 82, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2015 - November 26, 2021
AARON CAPITAL INCORPORATED
December 1, 2011 - March 10, 2014
CKS SECURITIES LLC
December 11, 2009 - July 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 27, 2009 - July 11, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 17, 2007 - February 10, 2010
LINK SECURITIES LLC
March 22, 2007 - October 13, 2007
ACN SECURITIES INC.
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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 1/1/2023
General Securities Representative ExaminationSeries 28
Date: 1/1/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
AARON CAPITAL INCORPORATED
CRD#: 28583 / SEC#: , 8-44000
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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