Seymour Benjamin Joseph Iv
Professional Summary
Seymour Benjamin Joseph IV, who also goes by Ben Joseph, is a registered financial advisor currently at RICE, VOELKER, LLC located in Mandeville, Louisiana. Seymour is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Seymour has worked at 2 firms and has passed the Series 63, Series 79TO, SIE, Series 86, Series 87 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Ben Joseph
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
22 years in the financial services industry
Current & Past Employments
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Current Firm
CAERLEON CAPITAL, L.L.C. | TRACEEQUITY | RICE, VOELKER, LLC | RICE, VOELKER BROTHERS & FRANTZEN, L.L.C.
Contact Information
Main Address
625 Girod Street, Suite B, Mandeville, LA 70448Phone Number
(985) 898-3477Established
Louisiana since 10/05/1995Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
6Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(10/15/2025)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Oct 2004About the Series 87 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Seymour Benjamin Joseph IV's CRS (Customer Relationship Summary).
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