Emrick R. Hult
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.
Emrick Ridley Hult, who also goes by Rick Hult, was a registered financial professional .
Emrick is a previously registered financial professional and started their career in finance in 1997. Emrick had worked at 5 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 27, 2015 - June 3, 2015
FINANCE 500, INC.
February 1, 2012 - January 28, 2013
BROOKLINE GROUP, LLC
August 10, 2004 - June 28, 2011
ROTH CAPITAL PARTNERS, LLC
August 26, 2003 - August 11, 2004
THOMAS WEISEL PARTNERS LLC
February 1, 1999 - August 25, 2003
BANC OF AMERICA SECURITIES LLC
November 18, 1997 - February 22, 1999
ROTH CAPITAL PARTNERS, 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
Exams
Series 55
Date: 2/16/2000
Limited Representative-Equity Trader ExamCurrent Firm
FINANCE 500, INC.
CRD#: 12981 / SEC#: , 8-28302
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
| Bond | 1 |
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.
