Richard A. Huppert
Professional summary
Richard Aaron Huppert is a registered financial professional currently at VANDERBILT SECURITIES, LLC located in Brooklyn, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Aaron Huppert's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2026 - Present
VANDERBILT SECURITIES, LLC
September 20, 2019 - May 14, 2026
CETERA WEALTH SERVICES, LLC
August 13, 2013 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
January 3, 2005 - September 5, 2013
LPL FINANCIAL LLC
January 4, 1999 - December 31, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 23, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
September 24, 1997 - January 29, 1998
NICHOLS, SAFINA, LERNER & CO. INC.
August 8, 1997 - September 19, 1997
DALTON KENT SECURITIES GROUP, INC.
December 17, 1993 - September 10, 1997
GUARDIAN INVESTOR SERVICES 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
(5/12/2026)
(5/12/2026)
(5/12/2026)
(5/14/2026)
(5/12/2026)
(5/12/2026)
Exams
FINRA
Current Firm
VANDERBILT SECURITIES, LLC
CRD#: 5953 / SEC#: , 8-16712
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VANDERBILT CAPITAL, LLC | SOLE OWNER | |
| ANTENOR, JR, DANIEL | CHIEF OPERATIONS OFFICER/OPTIONS/MUNI | 5839052 |
| DISTANTE, STEPHEN ALFRED | CEO - LIMITED PARTNER | 2206574 |
| PLAPP, MEGAN LYNN | FINOP, POO, PFO, CFO | 6790596 |
| THOMAS, MICHELLE DENISE | CHIEF COMPLIANCE OFFICER | 2210435 |
| TRIFILETTI, JOSEPH JOHN | PRESIDENT | 5295897 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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