Richard S. Hotham
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 S Hotham, who also goes by Richard Steven Hotham, Richard Hotham, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2018 - June 30, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 20, 2017 - July 12, 2018
CETERA INVESTMENT SERVICES LLC
May 6, 2011 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
December 5, 2007 - January 3, 2011
LIBERTY LIFE SECURITIES LLC
January 3, 2001 - December 31, 2007
LIBERTY LIFE DISTRIBUTORS LLC
September 9, 1998 - June 22, 2001
LOCUST STREET SECURITIES, 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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
