Richard D. Hancock
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 Dale Hancock, who also goes by Dick Hancock, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 7 firms and has passed the Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2009 - November 5, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
February 3, 2003 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 2002 - November 5, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 2, 2000 - December 2, 2002
HOWARD WEIL INCORPORATED
June 9, 1999 - October 6, 2000
INVEST FINANCIAL CORPORATION
January 11, 1995 - June 8, 1999
FSC SECURITIES CORPORATION
June 24, 1994 - February 6, 1995
LPL FINANCIAL LLC
March 26, 1991 - June 24, 1994
LUTHERAN BROTHERHOOD SECURITIES CORP.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
