Richard H. Von Hurst
Professional summary
Richard Hughes Von Hurst, who also goes by Ric Von Hurst, Richard H Von Hurst, Richard Hughes Von Hurst, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in San Francisco, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Richard has worked at 13 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Hughes Von Hurst's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Hughes Von Hurst's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 6, 2018 - Present
LIFEMARK SECURITIES CORP.
December 6, 2018 - Present
LIFEMARK SECURITIES CORP.
February 2, 2017 - November 7, 2018
FORESTERS EQUITY SERVICES, INC.
February 1, 2017 - November 7, 2018
FORESTERS EQUITY SERVICES, INC.
August 19, 2014 - January 4, 2016
SIGNATOR INVESTORS, INC.
August 13, 2014 - January 4, 2016
SIGNATOR INVESTORS, INC.
November 8, 2010 - September 4, 2013
WBB SECURITIES, LLC
November 8, 2010 - September 4, 2013
WBB SECURITIES, LLC
November 5, 2010 - March 4, 2014
VICTUS CAPITAL WEALTH
February 3, 2009 - November 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 3, 2009 - November 9, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2004 - February 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 2004 - February 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 2003 - October 27, 2004
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
June 10, 2003 - January 6, 2004
SUNAMERICA SECURITIES, INC.
January 14, 2002 - November 19, 2002
FISERV INVESTOR SERVICES, INC.
November 17, 1987 - June 5, 1998
CHARLES SCHWAB & CO., INC.
July 7, 1986 - August 6, 1987
MAI SECURITIES CORPORATION
July 1, 1986 - July 3, 1986
VALUE EQUITIES CORPORATION
February 24, 1986 - August 6, 1987
MAI SECURITIES CORPORATION
October 18, 1983 - March 28, 1984
MONTGOMERY SECURITIES
Primary Firm SEC Registration
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/6/2018)
(12/6/2018)
(1/4/2022)
Exams
FINRA
Current Firm
LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
