Stephen Rodgers
Stephen Rodgers is a registered investment advisor at Pendex Advisors, LLC, based in Ruston, LA, with 35 years of industry experience. Their practice areas include Investment Management. Their firm serves 18 clients with $3.9M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
PenDex Advisors offers a brokerage account program where clients can invest directly in the equity and option markets. These accounts are charged on a commission basis, with fees depending on the broker/dealer and clearing firm selected.
For GarWood Securities and Axos Clearing, the fees are:
- Equities: $5.00 per trade plus any applicable pass-through charges.
- Options: $5.00 per trade plus $0.75 per contract plus any applicable pass-through charges.
Alternatively, a monthly consultant fee may be negotiated.
Location
Ruston, LA
Get directionsHistory
Regulatory History (3)
Regulatory
January 2011Regulatory
August 2010Customer Dispute
February 2010Other Business Activities
Stephen is a Managing Director, President, and Managing Director at Pendex Advisors, LLC, an investment advisory firm. He dedicates nearly full-time hours to all phases of the investment advisory business.
Employment History
Current Registrations
Pendex Advisors, LLC
Previous Registrations
Transcend CapitalBroker
Nwt Financial Group, LLCBroker
Samco Financial Services, INC.Broker
Uvest Financial Services Group, INC.Broker
Samco Financial Services, INC.Broker
Argent Investment Services, INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.