Richard L. Abbrecht
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 Lawrence Abbrecht JR, who also goes by Rich Abbrecht Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 87, Series 5, PC, Series 1, Series 27, Series 8 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2017 - November 17, 2017
HANCOCK WHITNEY INVESTMENT SERVICES INC.
October 3, 2013 - April 15, 2015
HANCOCK WHITNEY INVESTMENT SERVICES INC.
January 24, 2000 - April 7, 2010
CAPITAL ONE SECURITIES, INC.
September 25, 1998 - January 24, 2000
PAN-AMERICAN FINANCIAL ADVISERS
January 12, 1998 - April 22, 1998
MARQUIS INVESTMENTS, L.L.C.
January 2, 1996 - September 25, 1997
LEGG MASON WOOD WALKER, INCORPORATED
February 3, 1976 - December 31, 1995
HOWARD, WEIL, LABOUISSE, FRIEDRICHS INC.
June 20, 1973 - December 25, 1974
HOWARD WEIL LABOUISSEE FRIEDRICHS INC
December 21, 1972 - July 11, 1973
LEHMAN BROTHERS INCORPORATED
Primary Firm SEC Registration
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
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 5
Date: 11/17/1981
Interest Rate Options ExaminationPC
Date: 7/5/1979
AMEX Put and Call ExamSeries 1
Date: 12/18/1972
Registered Representative ExaminationSeries 8
Date: 5/23/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Series 40
Date: 3/22/1978
Registered Principal ExaminationCurrent Firm
HANCOCK WHITNEY INVESTMENT SERVICES INC.
CRD#: 40637 / SEC#: 801-68420, 8-49106
Contact information
SEC notice filing (3 States and Territories)
FINRA licenses (5 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HANCOCK WHITNEY CORPORATION | SHAREHOLDER | |
| BARTLETT, DONNA | BROKER DEALER - CHIEF COMPLIANCE OFFICER | 1813672 |
| LOUPE, PATRICIA KIVES | ASSISTANT SECRETARY | 6796549 |
| MILTON, MILES STUART | PRESIDENT/CEO AND DIRECTOR | 1518016 |
| NICHOALDS, STUART TODD | AML/BSA OFFICER | 6607342 |
| RIGNEY, JOHN MARIO JR | RIA-CCO/VP/SECRETARY & DIRECTOR | 2032572 |
| SCHEXNAYDER, ANITA GREGOIRE | VICE PRESIDENT/CHIEF FINANCIAL OFFICER & DIRECTOR | 6453588 |
Regulatory assets under management
| Total Number of Accounts | 1,031 |
| AUM (Assets Under Management) | $ 210,606,113 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
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.
