Richard C. Hosler
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 Charles Hosler, who also goes by Richar Charles Hosler, Rick Hosler, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 5 firms and has passed the Series 66, Series 63, SIE, 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
October 15, 2014 - December 31, 2017
KOVACK SECURITIES INC.
September 22, 2011 - October 15, 2014
RESOURCE HORIZONS GROUP LLC
September 20, 2011 - October 27, 2017
ADVISORY SERVICES NETWORK
May 3, 2007 - September 26, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
March 30, 2007 - September 26, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
March 12, 1992 - December 31, 1992
OPPENHEIMER & CO. 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
KOVACK SECURITIES INC.
CRD#: 44848 / SEC#: , 8-50847
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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