Rick RodgersCRD Number: 1247022
Current Firm: Rodgers & Associates
Rick Rodgers (CRD# 1247022) is an Investment Advisor Representative working at Rodgers & Associates in Lancaster, PA and has over 33 years of experience in the finance industry.
Thrivent Investment Management Inc.
Northwestern Mutual Investment Services,llc
Kaufman Advisory Services, Inc.
|Girard Securities, Inc.||Lancaster, PA||Sep 2002 - Current||14|
|Rodgers & Associates||Lancaster, PA||Dec 1996 - Current||20|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 1984|
|S65||NASAA Investment Advisors Law Examination||Oct 1992|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management644MILLIONS
Total Number of Accounts2,497ACCOUNTS
Average Account Value$257,783
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
CA, FL, NC, NJ, NY, PA, VA