Frederick R. 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.
Frederick Richard Hall JR, who also goes by Fred R Hall Jr, Rick Hall, was a registered financial professional .
Frederick is a previously registered financial professional and started their career in finance in 1969. Frederick had worked at 8 firms and has passed the Series 99TO, SIE, Series 7, Series 5, Series 1 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2017 - December 15, 2017
ROBINHOOD SECURITIES, LLC
January 7, 2005 - November 18, 2022
TRADEUP SECURITIES, INC.
June 23, 1999 - November 5, 2009
CULLUM & BURKS SECURITIES, INC.
March 26, 1998 - February 16, 1999
HILLTOP SECURITIES INC.
February 25, 1998 - March 30, 1998
FIRST SOUTHWEST COMPANY, LLC
February 12, 1993 - October 5, 1993
HILLTOP SECURITIES INC.
April 27, 1985 - May 31, 1991
WEBER, HALL, SALE & ASSOCIATES, INC.
October 23, 1974 - August 26, 1975
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 25, 1969 - June 14, 1971
DALLAS RUPE & CO.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 5
Date: 11/24/1981
Interest Rate Options ExaminationSeries 1
Date: 10/15/1974
Registered Representative ExaminationCurrent Firm
ROBINHOOD SECURITIES, LLC
CRD#: 287900 / SEC#: , 8-69916
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROBINHOOD MARKETS, INC | MEMBER | |
| BILLINGS, MATTHEW JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 1915377 |
| CAVALLARO, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER | 1607925 |
| GALVIN, SCOT SEAN | CHIEF OPERATING OFFICER, AND PRINCIPAL OPERATIONS OFFICER | 3226179 |
| KELATI, DANIEL T | CHIEF FINANCIAL OFFICER AND FINOP | 3103432 |
| QUIRK, STEVEN MARK | MANAGER | 2728768 |
| SUBRAMANIAN, SIVARAMAKRISHNAN | MANAGER | 7339479 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
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.
