Richard L. Hatcher
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.
Richard Lee Hatcher, who also goes by Richard L Hatcher, Rick Hatcher, Richard L Htacher, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2014 - March 29, 2024
STRATEGIQ FINANCIAL GROUP, LLC
November 14, 2014 - December 16, 2016
SII INVESTMENTS, INC.
February 20, 2009 - December 2, 2014
RBC CAPITAL MARKETS, LLC
February 20, 2009 - December 2, 2014
RBC CAPITAL MARKETS, LLC
February 17, 2004 - March 17, 2009
CITIGROUP GLOBAL MARKETS INC.
February 17, 2004 - March 17, 2009
CITIGROUP GLOBAL MARKETS INC.
June 6, 2003 - February 19, 2004
WELLS FARGO CLEARING SERVICES, LLC
November 2, 1998 - February 19, 2004
WELLS FARGO CLEARING SERVICES, LLC
January 14, 1993 - November 5, 1998
WINGSPAN INVESTMENT SERVICES
January 2, 1991 - January 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 1988 - January 22, 1991
LEHMAN BROTHERS INC.
January 3, 1984 - April 11, 1988
E. F. HUTTON & COMPANY INC
March 2, 1983 - December 6, 1983
CIBC WORLD MARKETS CORP.
January 25, 1982 - March 24, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 3/2/1982
Interest Rate Options ExaminationCurrent Firm
STRATEGIQ FINANCIAL GROUP, LLC
CRD#: 144287 / SEC#: 801-68171
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 3,230 |
| AUM (Assets Under Management) | $ 1,550,418,447 |
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.
