RB
Richard V. Botthof
SYNOVUS SECURITIES
Birmingham, AL 35209
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CRD#: 1779051
RB
Professional summary
Richard Vincent Botthof, who also goes by Rick Botthof, is a registered financial professional currently at SYNOVUS SECURITIES, INC. located in Birmingham, Alabama.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 8 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Botthof
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard Vincent Botthof's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 4, 2005 - Present
SYNOVUS SECURITIES, INC.
Office #1: 800 Shades Creek Parkway, Birmingham, AL 35209RIA
BD
CRD#: 14023
Birmingham, AL
Past
April 23, 2005 - May 23, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 10, 1996 - April 23, 2005
SOUTHTRUST SECURITIES, LLC
BD
CRD#: 17922
BIRMINGHAM, AL
Past
November 22, 1993 - July 8, 1996
BGC FINANCIAL, L.P.
BD
CRD#: 19801
NEW YORK, NY
Past
July 1, 1992 - August 30, 1993
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
NEW YORK, NY
Past
June 30, 1992 - September 16, 1993
MORGAN STANLEY MARKET PRODUCTS INC.
BD
CRD#: 19794
NEW YORK, NY
Past
May 20, 1992 - June 5, 1992
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
January 12, 1990 - June 10, 1991
AMUNDI DISTRIBUTOR US, INC.
BD
CRD#: 24497
BOSTON, MA
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".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/4/2005)
RR
California(12/16/2005)
RR
Florida(12/16/2005)
RR
Georgia(2/4/2021)
RR
Illinois(12/16/2005)
RR
Kentucky(1/12/2023)
RR
Massachusetts(1/31/2022)
RR
Minnesota(12/16/2005)
RR
Mississippi(9/23/2019)
RR
Missouri(8/29/2022)
RR
New Hampshire(1/3/2022)
RR
New Jersey(12/16/2005)
RR
New York(12/16/2005)
RR
North Carolina(12/19/2005)
RR
Ohio(4/26/2023)
RR
Oklahoma(5/4/2005)
RR
Pennsylvania(8/9/2024)
RR
South Carolina(8/30/2023)
RR
Tennessee(12/16/2005)
RR
Texas(2/23/2022)
RR
Utah(12/16/2005)
RR
Wyoming(3/17/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.
CRD#: 14023 / SEC#: 801-19690, 8-34709
RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYNOVUS FINANCIAL CORP. | SYNOVUS SECURITIES, INC PARENT | |
| BROOKS, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER | 5028846 |
| ELEAM, JENNA KELLEY | CHIEF FINANCIAL OFFICER / FINOP | 7801582 |
| GUNDERSON, GENE FREDERICK | DIRECTOR OF COMPLIANCE, TRUST & BROKERAGE | 2914172 |
| HILL, JAYNE BARRY | DIRECTOR/PRESIDENT OF WEALTH SERVICES | 7660902 |
| KIRK, LEAH JEANETTE | CHIEF OPERATIONS OFFICER | 2217286 |
| LAW, ROBERT WARD | PRESIDENT - CFG DIVISION | 1399885 |
| MCKENZIE, MICHELLE JESSUP | ROP | 2475731 |
| SEXTON, GUY LEONARD | EVP/DIRECTOR | 1204541 |
| VARNER, ROBERT PARKER | PRESIDENT | 2192715 |
Regulatory assets under management
| Total Number of Accounts | 11,990 |
| AUM (Assets Under Management) | $ 7,086,116,735 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 10/27/2023 |
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.
Company Information
SYNOVUS SECURITIES, INC.
CRD#: 14023Birmingham, AL 35209TRUST BUT VERIFY
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