Richard W. Hohmann
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 William Hohmann was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1970. Richard had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 5, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2009 - November 4, 2019
WOOD (ARTHUR W.) COMPANY, INC.
September 24, 2003 - June 18, 2009
RBC CAPITAL MARKETS, LLC
March 9, 2002 - June 18, 2009
RBC CAPITAL MARKETS, LLC
May 20, 1997 - March 9, 2002
TUCKER ANTHONY INCORPORATED
August 4, 1986 - May 6, 1997
A. G. EDWARDS & SONS, INC.
December 12, 1985 - August 11, 1986
KIDDER, PEABODY & CO. INCORPORATED
January 14, 1985 - December 20, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 31, 1980 - January 24, 1985
UBS FINANCIAL SERVICES INC.
March 11, 1975 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
April 10, 1973 - March 7, 1975
ADAMS & PECK
August 20, 1970 - April 30, 1973
PROCTOR COOK & CO. 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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 2/21/1967
Registered Representative ExaminationCurrent Firm
WOOD (ARTHUR W.) COMPANY, INC.
CRD#: 3798 / SEC#: , 8-3368
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MCCARTHY, DONALD PHILIP | DIRECTOR, PRESIDENT/CEO, CCO | 858923 |
Disclosures
| Regulatory Event | 10 |
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.
