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MR

Mark A. Rodgers

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CRD#: 729481
MR

Professional summary

Mark Anthony Rodgers was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mark is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Mark had worked at 5 firms, which includes PRUDENTIAL EQUITY GROUP LLC, MORGAN STANLEY DW INC., LEHMAN BROTHERS INC., RAYMOND JAMES & ASSOCIATES INC., FORESTERS FINANCIAL SERVICES INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark A Rodgers | Mark Anthony Rogers

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

August 27, 1998 - April 6, 1999

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY
Past

March 24, 1988 - September 17, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

March 7, 1983 - March 22, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

May 21, 1982 - March 15, 1983

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Past

May 4, 1981 - June 1, 1982

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

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

State Security Law Exam
RR
Series 63
Date: 10/13/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/4/1983
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 15
Date: 1/13/1983
Foreign Currency Options Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/30/1981
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PE
PRUDENTIAL EQUITY GROUP, LLC
BACHE HALSEY STUART SHIELDS INCORPORATED | WWW.PRUDENTIAL.COM | PRUDENTIAL-BACHE SECURITIES INC. | PRUDENTIAL SECURITIES INCORPORATED | PRUDENTIAL EQUITY GROUP, LLC | PRUDENTIAL EQUITY GROUP, INC.

CRD#: 7471 / SEC#: , 8-27154

BD
Terminated by SEC on 01/18/2008
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 02/02/2004
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRUDENTIAL SECURITIES GROUP INC.["PSGI"] PARENT OF PRUDENTIAL EQUITY GROUP, LLCSHAREHOLDER DIRECT
BAVARO, MARGUERITE ANNECHIEF OPERATIONS OFFICER722294
DUGAN, MICHAEL JOSEPHCHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATIVE OFFICER1604211
RICE, JUDY ANNMANAGER67215
SHEA, MICHAEL JOSEPHMANAGER, CHIEF EXECUTIVE OFFICER & CHIEF COMPLIANCE OFFICER1014613
STRANGFELD, JOHN ROBERT JRMANAGER & CHAIRMAN OF THE BOARD1301812

Disclosures

Regulatory Event288
Civil Event1
Arbitration579

Red Flags

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Company Information

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

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