Best Investors Account Sign in

Richard Erwin Dodge

Rbc Capital Markets, LLC

Colorado Springs, CO

Breckenridge, CO

Colorado Springs, CO

Claim This Profile
Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2019-09-24
TX RA APPROVED 2019-09-24
  • CO RA
    APPROVED
    Since 2019-09-24
  • TX RA
    APPROVED
    Since 2019-09-24

Branch Locations

102 South Tejon Suite 460, Colorado Springs, CO 80903-2278 • United States

Breckenridge, CO • United States

Colorado Springs, CO • 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
Ubs Financial Services Inc Colorado Springs CO 07/2013 09/2019
Rbc Capital Markets, Llc. Colorado Springs CO 09/2019 Present
City National Bank Colorado Springs CO 12/2019 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-14
S63 Uniform Securities Agent State Law Examination 1986-07-24
  • S65 Uniform Investment Adviser Law Examination
    2001-02-14
  • S63 Uniform Securities Agent State Law Examination
    1986-07-24
Other Names
  • Dick Dodge
  • Dick Dodge
  • Richard E Dodge
  • Richard Erwin Dodge
  • Richard E. Erwin Dodge

View on SEC IAPD

Other Firms

LPL FINANCIAL LLC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SEAMOUNT FINANCIAL GROUP INC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BENJAMIN F. EDWARDS & COMPANY, INC.
OSAIC WEALTH, INC.

Other Investors

KARLA ROSS
TROY CARLSON
JUSTIN BACKSTROM
JANICA JOLI GILLETTE-BACKSTROM
GARY BACKSTROM
Nicholas Dorsett
Patrick Thomas Healy
Christopher Robert Dorsett

Other Offices

LPL FINANCIAL LLC · COLORADO SPRINGS, CO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COLORADO SPRINGS, CO
SEAMOUNT FINANCIAL GROUP INC · COLORADO SPRINGS, CO
UBS FINANCIAL SERVICES INC. · COLORADO SPRINGS, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLORADO SPRINGS, CO
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · COLORADO SPGS, CO
BENJAMIN F. EDWARDS & COMPANY, INC. · Colorado Springs, CO
OSAIC WEALTH, INC. · COLORADO SPRINGS, CO

More in Colorado Springs, CO

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor