Claudia G. Bender

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CRD#: 5167928

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.

Claudia Goodrich Bender, CFP®, who also goes by Claudia M Goodrich, Claudia Mackay Goodrich, Claudia Goodrich, was a registered financial professional .

Claudia is a previously registered financial professional and started their career in finance in 2006. Claudia had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Claudia M Goodrich | Claudia Mackay Goodrich | Claudia Goodrich

Other business activities

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Past

June 20, 2016 - May 30, 2017

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

Duxbury, MA

Past

August 24, 2011 - August 26, 2014

MORGAN STANLEY

RIA

CRD#: 149777

PROVIDENCE, RI

Past

March 14, 2011 - August 26, 2014

MORGAN STANLEY

CRD#: 149777

PROVIDENCE, RI

Past

October 23, 2009 - February 28, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PROVIDENCE, RI

Past

August 17, 2007 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

July 18, 2006 - August 16, 2007

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 10/26/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/17/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184 / SEC#: 801-67704, 8-44786

Terminated by SEC on 12/01/2018

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Contact information

Main Address

16414 San Pedro Avenue Suite 300, San Antonio, TX 78232

Mailing Address

Phone number

Established

Texas since 03/16/1992

Firm type

Corporation

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

Part 2 Brochures

IPI WRAP FEE PROGRAM BROCHURE (3/31/2018)

IPI DISCLOSURE BROCHURE (3/31/2018)

Direct owners and executive officers

Name	Position	CRD#
AMPF HOLDING CORPORATION	SHAREHOLDER
DULLNIG, RICHARD ROLLE	REGISTERED OPTIONS PRINCIPAL	2215594
MAGLAQUE, CHARLES NEAL	DIRECTOR	5026063
MCANELLY, JAY LANCE	PRES/CEO	2677791
O'CONNELL, PATRICK HUGH	DIRECTOR	2246285
STOREY, MARY ELLEN	CO-CCO	4808171
SUROVIK, BRIAN KEITH	CCO AND COO	4481124

Disclosures

Regulatory Event

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.

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Firm Stability Insights

Claudia G. Bender

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MORGAN STANLEY

MORGAN STANLEY

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/26/2006

SIE

Date: 5/30/2017

Series 7

Date: 8/18/2010

Series 6

Date: 7/17/2006

Current Firm

INVESTMENT PROFESSIONALS, INC.

Contact information

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT PROFESSIONALS, INC.

TRUST BUT VERIFY

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