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Richard J. Bodkin

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CRD#: 1697559
RB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard John Bodkin, who also goes by Rich Bodkin, Richie Bodkin, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 8 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 52, Series 24 and Series 53 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich Bodkin | Richie Bodkin

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

November 29, 2018 - February 1, 2021

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL
Past

January 16, 2018 - November 29, 2018

FIRST EMPIRE SECURITIES, INC.

BD
CRD#: 15129
Chicago, IL
Past

November 2, 2015 - February 2, 2017

HUNTINGTON SECURITIES, INC.

BD
CRD#: 2261
COLUMBUS, OH
Past

August 22, 2008 - October 19, 2015

BMO CAPITAL MARKETS GKST INC.

BD
CRD#: 8352
MILWAUKEE, WI
Past

September 9, 2004 - December 13, 2007

LASALLE FINANCIAL SERVICES, INC.

BD
CRD#: 20373
CHICAGO, IL
Past

June 11, 1991 - July 12, 2004

BANC ONE CAPITAL MARKETS, INC.

BD
CRD#: 23065
CHICAGO, IL
Past

April 19, 1990 - March 8, 1991

LANGDON P COOK & CO. INCORPORATED

BD
CRD#: 7114
NEW YORK, NY
Past

October 15, 1988 - September 21, 1989

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY

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: 4/27/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 12/15/1979
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/17/1999
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 8/13/1980
Municipal Securities Principal Examination

Current Firm

CC
CABRERA CAPITAL MARKETS, LLC
CABRERA CAPITAL MARKETS, INC. | FIRST SECURITIES CORPORATION | CABRERA CAPITAL MARKETS, LLC

CRD#: 10081 / SEC#: , 8-26406

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Mailing Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Phone number
(312) 236-8888
Established
Delaware since 04/10/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CABRERA CAPITAL, LLCOWNER
RCF-CABRERA HOLDINGS, INC.OWNER
AGUILAR, ROBERT LUISPRESIDENT4860643
CABRERA, MARTIN [NMN] JRCEO2504167
WORF, JEFF ALLENCHIEF COMPLIANCE OFFICER1416591

Disclosures

Regulatory Event4

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.

Company Information

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

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