Richard I. Rollo
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 Ian Rollo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2015 - June 11, 2021
H2C SECURITIES INC.
September 16, 1994 - July 31, 1997
SHATTUCK HAMMOND PARTNERS INC.
May 23, 1989 - October 18, 1989
TD SECURITIES (USA) LLC
State Registrations and Notice Filings
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Exams
Current Firm
H2C SECURITIES INC.
CRD#: 7169 / SEC#: , 8-19993
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DONOVAN, KIMBERLY | CHIEF COMPLIANCE OFFICER | 4586476 |
Disclosures
| Regulatory Event | 2 |
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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