Richard W. Bohlinger
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 Walter Bohlinger JR, who also goes by Rick Bohlinger, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2002. Richard had worked at 8 firms and has passed the Series 63, Series 66, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2015 - August 18, 2015
CAPE SECURITIES INC.
October 7, 2014 - August 18, 2015
CAPE INVESTMENT ADVISORY, INC.
August 24, 2012 - December 31, 2018
KEYSTONE WEALTH ADVISORS, INC.
August 28, 2008 - September 5, 2008
VOYA FINANCIAL ADVISORS, INC.
July 19, 2005 - September 3, 2008
LPL FINANCIAL LLC
July 12, 2005 - September 3, 2008
LPL FINANCIAL LLC
August 10, 2004 - July 13, 2005
TRIAD ADVISORS LLC
August 9, 2004 - July 13, 2005
TRIAD ADVISORS LLC
January 13, 2003 - August 17, 2004
DOMINION INVESTOR SERVICES, INC.
March 26, 2002 - December 18, 2002
PARKLAND SECURITIES, LLC
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
Current Firm
CAPE SECURITIES INC.
CRD#: 7072 / SEC#: , 8-20747
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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