Richard M. Fogg
Professional summary
Richard Matthew Fogg Jr, who also goes by Matt Fogg Jr, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Houston, Texas.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Matthew Fogg Jr's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2004 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
Office #1: 845 Texas Avenue Suite 3300, Houston, TX 77002July 16, 1996 - August 22, 2003
INVESCO CAPITAL MARKETS, 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
(1/8/2004)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145 / SEC#: , 8-66096
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145Houston, TX 77002TRUST BUT VERIFY
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