Richard W. Hall
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 William Leighton Hall, CFP® 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 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1997
Experience
July 9, 2004 - August 1, 2022
CUMBRIAN FINANCIAL STEWARDSHIP
May 26, 2004 - January 14, 2015
LPL FINANCIAL LLC
May 19, 2004 - August 25, 2022
LPL FINANCIAL LLC
August 29, 2001 - May 25, 2004
WS GRIFFITH SECURITIES, INC.
August 14, 2001 - May 25, 2004
WS GRIFFITH SECURITIES, INC.
July 6, 2001 - August 14, 2001
1ST GLOBAL CAPITAL CORP.
June 7, 1993 - July 3, 2001
WS GRIFFITH SECURITIES, INC.
September 3, 1992 - June 7, 1993
VP DISTRIBUTORS LLC
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
CUMBRIAN FINANCIAL STEWARDSHIP
CRD#: 131913 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 146 |
| AUM (Assets Under Management) | $ 93,133,000 |
Red Flags
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