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Emrick Ridley Hult

CRD# 2521510·Registered 1997 - 2015
Previously Registered: Being a previously registered professional could mean that Emrick 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.

Professional Summary

Emrick Ridley Hult, who also goes by Rick Hult, was a registered financial advisor. Emrick was a previously registered financial professional and started their career in finance 1997 - 2015. Emrick had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Rick Hult

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

29 years in the financial services industry

Current & Past Employments

FINANCE 500, INC.·CRD# 12981
BD
Irvine, CA
January 27, 2015 - June 3, 2015
BROOKLINE GROUP, LLC·CRD# 153587
BD
Newport Beach, CA
February 1, 2012 - January 28, 2013
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
August 10, 2004 - June 28, 2011
THOMAS WEISEL PARTNERS LLC·CRD# 46237
BD
San Francisco, CA
August 26, 2003 - August 11, 2004
BANC OF AMERICA SECURITIES LLC·CRD# 26091
BD
New York, NY
February 1, 1999 - August 25, 2003
ROTH CAPITAL PARTNERS, LLC·CRD# 15407
BD
Newport Beach, CA
November 18, 1997 - February 22, 1999

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Current Firm

F5
FINANCE 500, INC.

FINANCE 500 | FINANCE 500, INC.

CRD#: 12981 / SEC#: 8-28302
BD
Terminated by SEC on 11/12/2024

Contact Information

Established

California since 08/24/1982

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
RMB GROUP, LLCOWNER—
BENNETT, BRYAN LEEPRESIDENT, COO, DIRECTOR2614924
DIGIORGIO, ANN ELIZABETHMUNI PRINCIPAL735482
DIGIORGIO, ANN ELIZABETHCCO / AML COMPLIANCE OFFICER735482
DIGIORGIO, ANN ELIZABETHCHIEF FINANCIAL OFFICER735482

Disclosures

Regulatory Event

16

Arbitration

5

Bond

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jun 1998About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2015About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Feb 2000

Series 7 — General Securities Representative Examination

Passed Nov 1997About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Aug 2001About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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