Richard E. Hamilton

HAMILTON-BATES INVESTMENT RESEARCH

NEWTOWN SQUARE, PA

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CRD#: 2080587

Professional summary

Richard Elwood Hamilton JR., who also goes by Rich Hamilton Jr, is a registered financial advisor currently at HAMILTON-BATES INVESTMENT RESEARCH, INC. located in Newtown Square, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Richard has worked at 4 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rich Hamilton Jr

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) - RIA

Click below to view Richard Elwood Hamilton JR.'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®

None

Experience

Current

July 28, 2000 - Present

HAMILTON-BATES INVESTMENT RESEARCH, INC.

RIA

CRD#: 114127

NEWTOWN SQUARE, PA

Past

June 28, 1995 - April 18, 1996

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

June 18, 1993 - May 20, 1994

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

September 19, 1990 - December 31, 1991

LINCOLN INVESTMENT

CRD#: 519

FORT WASHINGTON, PA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(4/18/2012)

IAR

Pennsylvania
(7/28/2000)

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: 10/29/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/18/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

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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Richard E. Hamilton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Elwood Hamilton JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON-BATES INVESTMENT RESEARCH, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

SECURITIES SERVICE NETWORK, LLC

LINCOLN INVESTMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 10/29/1990

Series 6

Date: 9/18/1990

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

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