Benjamin D. Capshaw
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 Dowell Capshaw III, who also goes by Ben Capshaw III, Benjamin Dowell Capshaw III, Benjamin Dowell Capshaw, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1972. Benjamin had worked at 5 firms and has passed the Series 65, Series 63, SIE, PC, Series 5, Series 000, Series 1, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2009 - January 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2009 - January 4, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - January 21, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - January 21, 2009
MORGAN STANLEY & CO. LLC
September 22, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
March 9, 1983 - April 2, 2007
MORGAN STANLEY DW INC.
September 5, 1978 - March 11, 1983
A. G. EDWARDS & SONS, INC.
October 24, 1972 - September 28, 1978
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
PC
Date: 6/24/1982
AMEX Put and Call ExamSeries 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 000
Date: 10/14/1972
General Securities Principal ExaminationSeries 1
Date: 10/14/1972
Registered Representative ExaminationSeries 12
Date: 6/26/1979
NYSE Branch Manager ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
