Richard L. Whittington
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 Lee Whittington was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 8 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 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
Experience
October 8, 2013 - September 11, 2015
DREXEL HAMILTON, LLC
August 26, 2011 - October 7, 2013
DREXEL HAMILTON, LLC
October 26, 2009 - November 9, 2009
STURDIVANT & CO. INC
May 1, 2007 - October 25, 2007
AVIAN SECURITIES, LLC
March 15, 2004 - March 1, 2007
CARIS & COMPANY, INC.
August 28, 2002 - March 22, 2004
BROADPOINT AMTECH, INC.
April 16, 2001 - November 19, 2001
WILKINSON BOYD CAPITAL MARKETS, INC
March 2, 2001 - March 8, 2001
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
August 12, 1999 - February 13, 2001
BANC OF AMERICA SECURITIES 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
DREXEL HAMILTON, LLC
CRD#: 143570 / SEC#: , 8-67576
Contact information
FINRA licenses (41 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FELICE, ANTHONY PHILIP | CHIEF EXECUTIVE OFFICER | 4441607 |
| DOLL, LAWRENCE KIRK | OWNER | 5236486 |
| ELSAS, ROGER DEWITT | OWNER | 200659 |
| FAY, MELISSA JO HILER | OWNER | 5360445 |
| MARTINKO, JOHN CHRISTOPHER | OWNER | 5286067 |
| KIM, HYUNG S | OWNER | 5653676 |
| BRENNAN, PAUL FRANCIS | CHIEF OPERATING OFFICER | 2170928 |
| EDWARDS, JOHN WILLIAM JR. | CHIEF FINANCIAL OFFICER/FINOP | 1757360 |
| MAGEE, MARY BRENNAN | TRUSTEE, THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | |
| SANOK, EDWARD WILLIAM | CHIEF COMPLIANCE OFFICER | 6301272 |
| THE PAUL F. BRENNAN TRUST (DATED MAY 12, 2015) UNDER THE JOHN V. BRENNAN TRUST OF MAY 12, 2015 | OWNER |
Disclosures
| Regulatory Event | 3 |
Red Flags
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