Richard A. Hill
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 Allen Hill was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 2 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 1994 - May 21, 1996
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
September 18, 1984 - July 7, 1994
PRUCO SECURITIES, LLC.
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
Current Firm
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
CRD#: 5496 / SEC#: , 8-16198
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN LIFE FINANCIAL (U.S.) HOLDINGS, INC. | 100% SHAREHOLDER | |
| DAVIS, SCOTT | DIRECTOR | |
| HAYNES, NEIL LEONARD | DIRECTOR | 6405143 |
| HEALY, DAVID JAMES | PRESIDENT & DIRECTOR | 4103309 |
| KALLAS, COLLEEN LOUISE | SECRETARY | 6910605 |
| MURRAY, THOMAS JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1894655 |
| WORMUTH, LAURA MANDOLINI | FINANCIAL/OPERATIONS PRINCIPAL AND TREASURER | 6063656 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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