AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RH

Richard J. Hagen

TOSS SECURITIES US
NEW YORK, NY 10001
Some features on this profile are disabled
CRD#: 2185011
RH

Professional summary

Richard John Hagen JR, who also goes by Rich Hagen, Richard Hagen, Richie Hagen, is a registered financial professional currently at TOSS SECURITIES US LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 10 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 7, Series 24, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rich Hagen | Richard Hagen | Richie Hagen

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) - BD

Click below to view Richard John Hagen 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

June 18, 2025 - Present

TOSS SECURITIES US LLC

Office #1: 1250 Broadway Suite 2601, New York, NY 10001Office #2: 1250 Broadway Suite 2601, New York, NY 10001
BD
CRD#: 333338
NEW YORK, NY
Past

April 15, 2022 - September 28, 2022

ALL OF US SECURITIES LLC

BD
CRD#: 292163
SAN JOSE, CA
Past

November 24, 2015 - March 30, 2016

MB TRADING

BD
CRD#: 30330
Charlotte, NC
Past

July 24, 2012 - December 20, 2012

ZECCO TRADING, INC.

BD
CRD#: 135398
GLENDALE, CA
Past

November 29, 2005 - March 7, 2019

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC
Past

March 8, 2004 - June 8, 2005

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI
Past

May 24, 2001 - September 5, 2002

GOLDMAN SACHS CUSTODY SOLUTIONS

BD
CRD#: 48015
MCLEAN, VA
Past

September 30, 1997 - February 2, 2001

SURETRADE INC.

BD
CRD#: 43625
LINCOLN, RI
Past

December 13, 1994 - November 10, 1997

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

April 9, 1992 - October 19, 1994

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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
RR
Series 63
Date: 1/17/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/18/2025
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 6/18/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/8/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/18/2025
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/31/1996
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 8/2/1994
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

TS
TOSS SECURITIES US LLC
TOSS SECURITIES US LLC | TSA FINANCIAL LLC

CRD#: 333338 / SEC#: , 8-71293

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1250 Broadway Suite 2601, New York, NY 10001
Mailing Address
1250 Broadway Suite 2601, New York, NY 10001
Phone number
(561) 926-1810
Established
Delaware since 08/23/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TOSS SECURITIES AMERICAS INC.SOLE MEMBER
DONOVAN, ROBERTO ETTORECHIEF COMPLIANCE OFFICER2389987
HAGEN, RICHARD JOHN JRCHIEF EXECUTIVE OFFICER2185011
SILVESTRO, MICHELE ANNFINOP, PFO, POO6960939

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

TOSS SECURITIES US LLC

CRD#: 333338New York, NY 10001

TRUST BUT VERIFY

Monitor Richard Hagen

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
PR
MINNEAPOLIS, MN
Elizabeth Katz Miller
Elizabeth MillerAdvisorCheck Check Mark
SUMMIT PLACE FINANCIAL ADVISORS, LLC
IAR
Summit, NJ
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.