Richard A. Hultquist
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 Arthur Hultquist, who also goes by Dick Hultquist, Richard Arthur Hultquist Sr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 21 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 26, 2010 - December 31, 2012
VOYA FINANCIAL ADVISORS, INC.
October 15, 2007 - October 15, 2009
SUNSET FINANCIAL SERVICES, INC.
July 14, 2005 - February 9, 2007
SUNSET FINANCIAL SERVICES, INC.
December 7, 2004 - May 23, 2005
METROPOLITAN LIFE INSURANCE COMPANY
December 7, 2004 - May 23, 2005
MSI FINANCIAL SERVICES, INC.
August 21, 2002 - July 23, 2004
METROPOLITAN LIFE INSURANCE COMPANY
August 21, 2002 - July 23, 2004
MSI FINANCIAL SERVICES, INC.
April 2, 2002 - August 23, 2002
THE O.N. EQUITY SALES COMPANY
September 13, 2001 - March 8, 2002
OSAIC FS, INC.
December 13, 2000 - June 22, 2001
EQUITY SERVICES, INC.
October 1, 1997 - November 21, 2000
OSAIC FS, INC.
April 29, 1996 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
January 11, 1994 - May 22, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 11, 1994 - May 22, 1996
SIGNATOR INVESTORS, INC.
November 15, 1990 - November 5, 1993
NYLIFE SECURITIES LLC
August 3, 1988 - February 7, 1990
NEW ENGLAND SECURITIES
December 16, 1987 - September 21, 1988
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
December 16, 1987 - September 21, 1988
EQUITABLE VARIABLE LIFE INSURANCE COMPANY
December 16, 1987 - September 21, 1988
EQUITABLE ADVISORS, LLC
June 24, 1985 - January 22, 1988
DAROZA ANDERSON, INC.
April 11, 1984 - June 13, 1985
MERCER SECURITIES GROUP, INC.
September 23, 1981 - March 19, 1984
INTEGRATED RESOURCES EQUITY CORPORATION
July 21, 1976 - January 4, 1982
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 14, 1970 - July 25, 1975
GLENN E. HINTON INVESTORS,INC.
August 18, 1969 - May 13, 1972
FALCON FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 8/12/1969
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
