Richard A. Hilfiker
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 Arthur Hilfiker, who also goes by Arthur Rick Hilfiker, Richard Arthur Hilfiker Mr., Richard Hilfiker, Rick Hilfiker, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1994. Richard had worked at 5 firms and has passed the Series 66 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
June 2, 2011 - February 14, 2012
NATIONAL SECURITIES CORPORATION
December 1, 2009 - January 24, 2011
OPPENHEIMER & CO. INC.
October 8, 2009 - January 24, 2011
OPPENHEIMER & CO. INC.
July 1, 2003 - November 16, 2007
WELLS FARGO SECURITIES, LLC
October 1, 1999 - July 1, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 17, 1994 - August 1, 1996
FIRST OPTIONS OF CHICAGO, INC.
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
