Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Erwin Dodge is a financial advisor with over 30 years of experience in the industry. Richard currently works with RBC Capital Markets, LLC and is registered to offer investment advice and securities services in a number of states. Prior to joining RBC Capital Markets, LLC, Richard was employed at UBS Financial Services Inc. and Citigroup Global Markets Inc. Richard holds several licenses including Series 7, Series 63, Series 65 and SIE and is a respected member of the financial community.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CO
09/24/2019 - Present
RBC Capital Markets, LLC (COLORADO SPRINGS CO)
CO
04/21/2009 - 10/03/2019
UBS FINANCIAL SERVICES INC. (COLORADO SPRINGS CO)
CO
11/09/1993 - 05/12/2009
CITIGROUP GLOBAL MARKETS INC. (COLORADO SPRINGS CO)
MO
09/04/1990 - 11/09/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
09/26/1986 - 09/04/1990
BOETTCHER & COMPANY, INC.
NA
09/26/1986 - 02/20/1987
DUNHILL INVESTMENTS LTD.
IA
Issued 02/14/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/24/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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