Robert L. Bousman
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.
Robert Louis Bousman was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1968. Robert had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 5, PC 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
December 11, 2009 - December 28, 2015
CAPITOL SECURITIES MANAGEMENT, INC.
December 11, 2009 - December 28, 2015
CAPITOL SECURITIES MANAGEMENT, INC.
June 1, 2009 - December 19, 2009
MORGAN STANLEY
June 1, 2009 - December 19, 2009
MORGAN STANLEY
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 25, 1979 - July 31, 1993
LEHMAN BROTHERS INC.
May 4, 1978 - June 25, 1979
LOEB PARTNERS
April 3, 1973 - May 27, 1978
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 12, 1968 - April 28, 1973
HORNBLOWER & WEEKS - HEMPHILL, NOYES INCORPORATED
Primary Firm SEC Registration
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
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 5
Date: 10/17/1981
Interest Rate Options ExaminationPC
Date: 7/18/1977
AMEX Put and Call ExamSeries 1
Date: 3/8/1968
Registered Representative ExaminationCurrent Firm
CAPITOL SECURITIES MANAGEMENT, INC.
CRD#: 14169 / SEC#: 801-41033, 8-30353
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 3,745 |
| AUM (Assets Under Management) | $ 1,818,741,357 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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