Benjamin R. Bodwell
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.
Benjamin Richard Bodwell, who also goes by B. Richard Bodwell, Dick Bodwell, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1970. Benjamin had worked at 7 firms and has passed the SIE, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2012 - February 9, 2018
CAPITAL ANALYSTS
June 1, 2012 - February 9, 2018
LINCOLN INVESTMENT
June 1, 2012 - February 9, 2018
LINCOLN INVESTMENT
April 26, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
April 23, 2010 - June 1, 2012
CINCINNATI ANALYSTS, INC.
November 5, 2008 - May 21, 2010
SANDERS MORRIS LLC
February 10, 1986 - October 28, 2008
FSC SECURITIES CORPORATION
February 25, 1981 - February 24, 1986
WADDELL & REED
October 19, 1970 - April 14, 1977
PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 12/26/1969
Registered Representative ExaminationCurrent Firm
CAPITAL ANALYSTS
CRD#: 162200 / SEC#: 801-74614
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,578 |
| AUM (Assets Under Management) | $ 8,713,202,466 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/28/2024 | ||
| 09/27/2023 | ||
| 03/29/2023 |
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.
