Richard K. Hess
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 Kerwin Hess was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 1 firm and has passed the Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 1992 - December 12, 1995
HESS INVESTMENT CO.
December 2, 1970 - December 12, 1995
HESS INVESTMENT CO.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 11/21/1970
Registered Representative ExaminationSeries 00
Date: 5/24/1974
General Securities Principal ExaminationCurrent Firm
HESS INVESTMENT CO.
CRD#: 407 / SEC#: , 8-21506
Contact information
Documents
Red Flags
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