Richard A. Gill
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 Alan Gill was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 14 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2013 - May 27, 2016
DREXEL HAMILTON, LLC
October 11, 2011 - September 20, 2012
THE WILLIAMS CAPITAL GROUP, L.P.
February 6, 2008 - August 25, 2011
STERNE, AGEE & LEACH, INC.
September 22, 2003 - January 15, 2008
OPPENHEIMER & CO. INC.
March 31, 2003 - September 2, 2003
NATIONAL BANK OF CANADA FINANCIAL INC.
May 14, 2002 - March 21, 2003
RYAN BECK & CO.
April 29, 2002 - May 14, 2002
RYAN BECK & CO.
August 15, 2001 - May 14, 2002
GRUNTAL & CO., L.L.C.
January 11, 2001 - June 18, 2001
NORTH HAMPTON PARTNERS, L.P.
August 30, 1999 - December 20, 2000
GRUNTAL & CO., L.L.C.
March 15, 1996 - July 15, 1999
WELLS FARGO CLEARING SERVICES, LLC
April 28, 1994 - March 18, 1996
NEEDHAM & COMPANY, LLC
April 13, 1993 - April 25, 1994
CREDIT AGRICOLE SECURITIES (USA) INC.
November 10, 1988 - March 17, 1993
NATIONAL FINANCIAL SERVICES LLC
May 22, 1986 - March 27, 1987
ADVEST, INC.
May 23, 1985 - May 12, 1986
JSC SECURITIES, INC.
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 55
Date: 11/5/2008
Limited Representative-Equity Trader ExamCurrent Firm
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 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.
