Richard L. Booth
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 Lloyd Booth JR, who also goes by Richard Lloyd Jr Booth, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 4 firms and has passed the Series 63, Series 3, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2001 - January 29, 2021
HBK CAPITAL MANAGEMENT
January 6, 1994 - April 13, 2000
HBK FINANCE L.P.
July 30, 1992 - January 6, 1994
HB KORENVAES INVESTMENTS, L.P.
December 17, 1985 - April 27, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
HBK CAPITAL MANAGEMENT
CRD#: 115079 / SEC#: 801-70632
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
HBK CAPITAL MANAGEMENT
CRD#: 115079 / SEC#: 801-70632
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 28,454,381,000 |
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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