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JD

Joseph C. Dippold

Some features on this profile are disabled
CRD#: 6286402
JD

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.

Joseph Charles Dippold was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2017. Joseph had worked at 1 firm and has passed the Series 11 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 12, 2017 - September 15, 2023

RODGERS BROTHERS, INC.

BD
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".
RB
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)
BD
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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 11
Date: 1/12/2017
Assistant Representative-Order Processing Qualification Exam

Current Firm

RB
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)
BD
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
20

SEC notice filing (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

NamePositionCRD#
RODGERS, MARKPRESIDENT, PRINCIPAL FINANCIAL OFFICER865696
RODGERS, DENISE RYANCHIEF COMPLIANCE OFFICER2766807

Regulatory assets under management

Total Number of Accounts1,075
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.

Company Information

RODGERS BROTHERS, INC.

CRD#: 16197

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