Mark C. Rodgers

RODGERS BROTHERS

Harmony, PA 16037

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CRD#: 5902464

Professional summary

Mark Carey Rodgers is a registered financial advisor currently at RODGERS BROTHERS, INC. located in Harmony, Pennsylvania.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Mark has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Carey Rodgers's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 21, 2016 - Present

RODGERS BROTHERS, INC.

Office #1: 223 Mercer Street, Harmony, PA 16037

RIA

CRD#: 16197

Harmony, PA

Past

July 11, 2012 - October 24, 2023

RODGERS BROTHERS, INC.

CRD#: 16197

HARMONY, PA

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".

RODGERS BROTHERS, INC.

MONONGAHELA CAPITAL MANAGEMENT | RODGERS BROTHERS, INC. | MONONGAHELA CAPITAL MANAGEMENT INC.

CRD#: 16197 / SEC#: 801-61034, 8-33475

RIA

Registered Investment Advisory firm - SEC (4/23/2002 Approved)

Terminated by SEC on 12/01/2023

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.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(6/21/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/16/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/27/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/2012

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/20/2018

General Securities Principal Examination

Current Firm

RODGERS BROTHERS, INC.

MONONGAHELA CAPITAL MANAGEMENT | RODGERS BROTHERS, INC. | MONONGAHELA CAPITAL MANAGEMENT INC.

CRD#: 16197 / SEC#: 801-61034, 8-33475

RIA

Registered Investment Advisory firm - SEC (4/23/2002 Approved)

Terminated by SEC on 12/01/2023

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Contact information

Main Address

223 Mercer Street, Harmony, PA 16037

Mailing Address

Phone number

(724) 473-4003

Established

Pennsylvania since 01/24/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RODGERS BROTHERS INC. ADV PART 2 BROCHURE (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
RODGERS, MARK	PRESIDENT, PRINCIPAL FINANCIAL OFFICER	865696
RODGERS, DENISE RYAN	CHIEF COMPLIANCE OFFICER	2766807

Regulatory assets under management

Total Number of Accounts	1,075
AUM (Assets Under Management)	$ 964,724,126

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.

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Mark C. Rodgers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Carey Rodgers's CRS (Customer Relationship Summary).

Certified licenses

Experience

RODGERS BROTHERS, INC.

Primary Firm SEC Registration

RODGERS BROTHERS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/2016

Series 63

Date: 8/27/2012

SIE

Date: 10/1/2018

Series 7

Date: 7/10/2012

Series 24

Date: 9/20/2018

Current Firm

RODGERS BROTHERS, INC.

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Red Flags

Company Information

RODGERS BROTHERS, INC.

TRUST BUT VERIFY

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