Mark Rodgers
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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JANNEY MONTGOMERY SCOTT LLC
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Contact Information
xxxxx@xxxx.xxx
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JANNEY MONTGOMERY SCOTT LLC
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
MONONGAHELA CAPITAL MANAGEMENT | RODGERS BROTHERS, INC. | MONONGAHELA CAPITAL MANAGEMENT INC.
Contact Information
Main Address
223 Mercer Street, Harmony, PA 16037Phone Number
(724) 473-4003Established
Pennsylvania since 01/24/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
19SEC notice filing (16 States and Territories)
Registered to provide investment advisory services in 16 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,070AUM (Assets Under Management)
$1,037,507,673Similar Advisors
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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.
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JANNEY MONTGOMERY SCOTT LLC
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Primary Firm SEC Registration
MONONGAHELA CAPITAL MANAGEMENT | RODGERS BROTHERS, INC. | MONONGAHELA CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
(2/18/2011)
(11/4/2016)
(11/3/2016)
(11/4/2016)
(2/9/2021)
(11/3/2016)
(11/3/2016)
(11/3/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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JANNEY MONTGOMERY SCOTT LLC
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CRS (Client Relationship Summary) - RIA
Click below to view Mark Rodgers's CRS (Customer Relationship Summary).
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JANNEY MONTGOMERY SCOTT LLC
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