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BB

Bozena L. Brinkman

SECURITIES MANAGEMENT & RESEARCH
Salt Lake City, UT 84121
Some features on this profile are disabled
CRD#: 2165315
BB

Professional summary

Bozena Louise Brinkman, who also goes by Bozena Louise Crawley, is a registered financial professional currently at SECURITIES MANAGEMENT & RESEARCH, INC. located in Salt Lake City, Utah.

Bozena is registered as a RR (Registered Representative) and started their career in finance in 1995. Bozena has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bozena Louise Crawley

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) - BD

Click below to view Bozena Louise Brinkman's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 10, 2000 - Present

SECURITIES MANAGEMENT & RESEARCH, INC.

Office #1: 6715 South 1300 East Suite 200, Salt Lake City, UT 84121
BD
CRD#: 759
Salt Lake City, UT
Past

April 30, 1998 - February 9, 2000

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

April 13, 1995 - April 24, 1998

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

April 5, 1995 - April 24, 1998

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(1/30/2013)
RR
Idaho
(4/19/2001)
RR
Nevada
(2/10/2000)
RR
Utah
(2/10/2000)
RR
Washington
(2/10/2000)

Exams

State Security Law Exam
RR
Series 63
Date: 5/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/1/1995
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/9/2003
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SM
SECURITIES MANAGEMENT & RESEARCH, INC.
SECURITIES MANAGEMENT & RESEARCH, INC. | SOUTH SHORE ADVISORS, INC. | SM&R | SECURITIES MANAGEMENT AND RESEARCH, INC. ("SM&R") | SECURITIES MANAGEMENT AND RESEARCH, INC.

CRD#: 759 / SEC#: 801-8002, 8-12745

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

Main Address
4201 42nd Street Ne Suite 100, Cedar Rapids, IA 52402
Mailing Address
P.o. Box 11606, Cedar Rapids, IA 52410-1606
Phone number
(855) 767-5700
Established
Florida since 12/15/1964
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ADV PART 2 (3/22/2012)

Direct owners and executive officers

NamePositionCRD#
ONE FINANCIAL, INC.PARENT
BERTHEL, THOMAS JOSEPHCHAIRMAN OF BOARD/EXECUTIVE VICE PRESIDENT823289
CHAPMAN, KIMBERLY KAREN EARLYCHIEF COMPLIANCE OFFICER2527036
CHRISTOFFERSON, ANDREW JAMESCHIEF EXECUTIVE OFFICER/PRESIDENT3248381
DAVENPORT, SHELLEY RAEVICE PRESIDENT LEGAL & REGULATORY MATTERS2131376
HOHN, JAMES RALPHVICE PRESIDENT/TECHNOLOGY5413776
MEEHAN, DANIEL GERARDVICE PRESIDENT RECRUITING2264556
MURPHY, RICHARD MAURICEEXECUTIVE VICE PRESIDENT4893748
NOETHEN, BRITTANY MICHELLECHIEF TECHNOLOGY OFFICER2610543
RUPP, BRIAN MICHAELCHIEF FINANCIAL OFFICER/TREASURER6721718
SCHAUL, JOANNA MARIECHIEF ADMINISTRATIVE OFFICER/SECRETARY4947759
WILCOX, RANDY AUSTINVICE PRESIDENT COMPLIANCE/OSJ MANAGER4346998

Disclosures

Regulatory Event4
Arbitration1

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

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759Salt Lake City, UT 84121

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