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Benjamin C Capshaw

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Mandeville, LA

Covington, LA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
MS RA APPROVED 2023-01-23
LA RA APPROVED 2015-11-06
TX RA APPROVED 2009-01-09
  • MS RA
    APPROVED
    Since 2023-01-23
  • LA RA
    APPROVED
    Since 2015-11-06
  • TX RA
    APPROVED
    Since 2009-01-09

Branch Locations

2681 N Causeway Blvd, Mandeville, LA 70471 • United States

Covington, LA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated New Orleans LA 01/2009 Present
Bank Of America, Na New Orleans LA 12/2009 Present
Previous Registrations
  • 2007-04-02 → 2009-01-21
    Morgan Stanley & Co. Llc
    New Orleans, LA
  • 2004-09-03 → 2007-04-02
    Morgan Stanley Dw Inc.
    Ridgeland, MS
    New Orleans, LA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-04-12
  • S66 Uniform Combined State Law Examination
    2001-04-12
Other Names
  • Benjamin C Capshaw

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · MANDEVILLE, LA
CONCURRENT INVESTMENT ADVISORS, LLC · Mandeville, LA
EAGLE STRATEGIES LLC · MANDEVILLE, LA
AMERIPRISE FINANCIAL SERVICES, LLC · MANDEVILLE, LA
LPL FINANCIAL LLC · MANDEVILLE, LA
SILVER OAK SECURITIES, INCORPORATED · MADISONVILLE, LA
EDELMAN FINANCIAL ENGINES · MANDEVILLE, LA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · MANDEVILLE, LA

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