Richard D. Wynkoop

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CRD#: 1529749

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 Dudley Wynkoop was a registered financial advisor .

Richard is a previously registered financial advisor and started their career in finance in 1990. Richard had worked at 7 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 1, 2011 - August 1, 2012

MOORS & CABOT, INC.

RIA

CRD#: 594

SAN FRANCISCO, CA

Past

October 28, 2011 - August 1, 2012

MOORS & CABOT, INC.

CRD#: 594

SAN FRANCISCO, CA

Past

December 10, 2008 - November 22, 2011

HILLTOP SECURITIES INC.

RIA

CRD#: 6220

SAN FRANCISCO, CA

Past

December 10, 2008 - November 22, 2011

HILLTOP SECURITIES INC.

CRD#: 6220

SAN FRANCISCO, CA

Past

May 3, 2006 - December 22, 2008

M.L. STERN & CO., LLC.

CRD#: 8327

SAN FRANCISCO, CA

Past

May 2, 2006 - December 22, 2008

M.L. STERN & CO., LLC.

RIA

CRD#: 8327

SAN FRANCISCO, CA

Past

July 16, 1998 - May 2, 2005

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

July 10, 1997 - July 16, 1998

KIRLIN SECURITIES INC.

CRD#: 21210

SYOSSET, NY

Past

August 26, 1992 - June 27, 1997

SMITH CULVER INVESTMENTS

CRD#: 24007

SAN FRANCISCO, CA

Past

November 28, 1990 - June 12, 1992

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

April 12, 1990 - December 15, 1990

SACKS INVESTMENT COMPANY, INC.

CRD#: 16377

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/15/1986

General Securities Representative Examination

Current Firm

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Federal Street 19th Floor, Boston, MA 02110

Mailing Address

One Federal Street 19th Floor, Boston, MA 02110

Phone number

(617) 426-0500

Established

Massachusetts since 07/05/1978

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

121

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MOORS & CABOT ADV (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
EIGHTEEN NINETY PARTNERS, LLC	SHAREHOLDER
BRAUN, MICHAEL CHARLES	EVP/COO/DIRECTOR	2005370
CUETARA, JOSEPH PHILIP	SVP FIXED INCOME/MUNICIPAL PRINCIPAL	58308
GARRETT, MARK DAVID	DIRECTOR/CO-CHAIRMAN/TRUSTEE	5563014
HILDRETH, MICHAEL CHRISTOPHER	EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR	2386839
JOYCE, DANIEL MICHAEL	DIRECTOR	1060819
KELLIHER, KATHERINE ROSE	SVP & CHIEF COMPLIANCE OFFICER	4146307

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 3,437,764,388

Disclosures

Regulatory Event	30
Arbitration	3
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/04/2023	Cover Page	Report
01/12/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Richard D. Wynkoop

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MOORS & CABOT, INC.

HILLTOP SECURITIES INC.

HILLTOP SECURITIES INC.

M.L. STERN & CO., LLC.

M.L. STERN & CO., LLC.

MOORS & CABOT, INC.

KIRLIN SECURITIES INC.

SMITH CULVER INVESTMENTS

GRUNTAL & CO., L.L.C.

SACKS INVESTMENT COMPANY, INC.

Primary Firm SEC Registration

MOORS & CABOT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/22/2000

Series 7

Date: 11/15/1986

Current Firm

MOORS & CABOT, INC.

Contact information

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MOORS & CABOT, INC.

TRUST BUT VERIFY

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