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RH

Richard L. Hope

Some features on this profile are disabled
CRD#: 2053092
RH

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 Leonard Hope, AIF®, who also goes by Rick Hope, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Hope

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.
1. 12/16/2015 - Washington Financial Group/ DBA Only/ 100%/ Columbia, MD 2. 12/16/2015 - Richard Hope/ Non-Variable Insurance/ 1%/ Columbia, MD 3. 01/04/2016 * Global Retirement Partners * Registered Investment Advisor Hybrid * (HYBRID) Global Retirement Partners * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 11/1/2015 * 160 HRS/MO; 40 HRS/MO DURING SECS TRDG HRS. 4. 9/12/2019 - HUB International - Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Start Date: 09/13/2019 - 160 Hours Per Month/160 Hours During Securities Trading - HUB International is buying my practice and will be 100% owner. Role will remain the same but will now be an employee of HUB. 5. 9/13/2019 - HUB International - DBA: Washington Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/13/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 6. 9/26/2019 - Global Retirement Partners - DBA: Washington Financial Group, a division of HUB International - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date: 09/13/2019 - 160 Hours Per Month/160 Hours During Securities Trading. 7. 12/12/2019 - HUB International Investment Services, Inc. - Investment Related - At Reported Business Location(s) - Other-accommodation broker/dealer - Started 09/15/2019 - 0 Hours Per Month - Only registered with this entity to receive payments from compensation paid to this entity from LPL. 8. 4/16/2021 - HUB International - DBA: HUB Retirement and Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2021 - 160 Hours Per Month/160 Hours During Securities Trading. 9. 5/7/2021 - Global Retirement Partners, LLC - DBA: (Hybrid) HUB Retirement and Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Investment Advisor Representative - Start Date: 1/1/2021 - Service as an Investment Advisor Representative under the Global Retirement Partners RIA dba HUB Retirement and Wealth Management. Activities may include financial planning, rendering advice for a fee, retirement plan consulting, or other investment related financial consulting.

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®
AIF®

Accredited Investment Fiduciary

Experience

Past

November 12, 2021 - August 1, 2023

HUB INTERNATIONAL INVESTMENT SERVICES INC.

BD
CRD#: 150252
KANSAS CITY, MO
Past

December 17, 2015 - January 3, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA
CRD#: 172011
McLean, VA
Past

December 16, 2015 - October 24, 2023

LPL FINANCIAL LLC

BD
CRD#: 6413
MCLEAN, VA
Past

August 8, 2003 - February 11, 2016

INDEPENDENT ADVISERS GROUP CORP

RIA
CRD#: 106684
COLUMBIA, MD
Past

February 3, 2003 - December 24, 2015

OSAIC FS, INC.

RIA
CRD#: 3870
COLUMBIA, MD
Past

January 8, 2003 - December 24, 2015

OSAIC FS, INC.

BD
CRD#: 3870
COLUMBIA, MD
Past

October 2, 1996 - December 6, 2002

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
BALTIMORE, MD
Past

May 17, 1990 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039
NEW YORK, NY
Past

May 17, 1990 - December 6, 2002

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 8/30/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/22/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/16/1990
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/20/2000
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 5/21/1998
Investment Company Products/Variable Contracts Principal Examination

Current Firm

HI
HUB INTERNATIONAL INVESTMENT SERVICES INC.
HUB INTERNATIONAL INVESTMENT SERVICES INC. | HUB INTERNATIONAL INVESTMENT SERVICES INC. (HIIS)

CRD#: 150252 / SEC#: , 8-68237

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
9200 Ward Parkway, Suite 500 Suite B60, San Rafael, CA 94903
Mailing Address
9200 Ward Parkway, Suite 500, Kansas City, MO 64114
Phone number
(914) 343-6705
Established
Delaware since 12/12/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
0

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
RPW HOLDINGS, LLCSOLE OWNER
DEVRIES, KENNETH SCOTTCHIEF ACCOUNTING OFFICER6435109
HAUPTMANN, SCOTT CHRISTOPHERPRESIDENT4773447
LIEBOWITZ, MARIANE ASHLEYINTERIM CHIEF COMPLIANCE OFFICER4532268
VALLOW, RONALD EFINOP, POO, PFO4948582

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

HUB INTERNATIONAL INVESTMENT SERVICES INC.

CRD#: 150252

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