MR
Mark Rodgers
RODGERS BROTHERS
Harmony, PA 16037
Some features on this profile are disabled
CRD#: 865696
MR
Professional summary
Mark 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 1979. Mark has worked at 2 firms and has passed the Series 65, Series 99TO, SIE, Series 7, Series 27 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.
1.) 2/2000 ALIGNED PARTNERS TRUST; SHAREHOLDER/BOARD OF DIRECTORS AND AS SECRETARY; REGISTERED TRUST BANK; INVESTMENT RELATED; 1606 Carmody Ct., Suite 300 Sewickley PA 15143; 5 HOURS PER MONTH DURING SECURITIES TRADING HOURS 2.) 9/2016 Friends of Quaker Valley Schools Trustee ; 501(c)3 organization; Secretary; Sewickley, PA 15143; Non- Investment Related; Approximately 1% spent on outside business activity. 3) 6/2014 Harmony1806 LLC; Owner; Rental Real Estate Holdings Company; Investment Related; Harmony, PA; 2 hours/month; 0 hours during trading hours; Rented Office Building 4) 10/2024 Harmony 543 LLC; Owner; Rental Real Estate Holding Company; Investment Related; Harmony, PA; 2 hours/month; 0 hours during trading hours; Rented Office Space
CRS (Client Relationship Summary) - RIA
Click below to view Mark Rodgers's 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®
NoneExperience
Current
February 18, 2011 - Present
RODGERS BROTHERS, INC.
Office #1: 223 Mercer Street, Harmony, PA 16037RIA
CRD#: 16197
Harmony, PA
Past
April 10, 1985 - October 24, 2023
RODGERS BROTHERS, INC.
BD
CRD#: 16197
HARMONY, PA
Past
May 1, 1979 - April 23, 1985
LEGG MASON MASTEN INC.
BD
CRD#: 2
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.
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
California(2/18/2011)
IAR
Florida(11/4/2016)
IAR
Georgia(11/3/2016)
IAR
Illinois(11/4/2016)
IAR
New York(2/9/2021)
IAR
Ohio(11/3/2016)
IAR
Pennsylvania(11/3/2016)
IAR
Texas(11/3/2016)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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)
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.
