RL
Richard W. Lowe
HOVDE GROUP
Inverness, IL 60067
Some features on this profile are disabled
CRD#: 2673234
RL
Professional summary
Richard William Lowe, who also goes by Rick Lowe, is a registered financial professional currently at HOVDE GROUP, LLC located in Inverness, Illinois.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rick Lowe
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard William Lowe's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 18, 2022 - Present
HOVDE GROUP, LLC
Office #1: 1629 Colonial Parkway, Inverness, IL 60067BD
CRD#: 25425
Inverness, IL
Past
July 27, 2018 - July 30, 2018
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
PEPPER PIKE, OH
Past
July 27, 2018 - September 17, 2019
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
PEPPER PIKE, OH
Past
November 17, 2015 - June 15, 2018
ROSENBLATT SECURITIES INC.
BD
CRD#: 18377
NEW YORK, NY
Past
February 1, 2010 - November 16, 2015
NORTHCOAST RESEARCH PARTNERS, LLC
BD
CRD#: 149109
CLEVELAND, OH
Past
May 7, 2009 - November 16, 2015
AMERICA NORTHCOAST SECURITIES, INC.
BD
CRD#: 16076
CLEVELAND, OH
Past
October 21, 2002 - April 30, 2009
FTN EQUITY CAPITAL MARKETS CORP.
BD
CRD#: 119625
CLEVELAND, OH
Past
September 6, 2001 - October 21, 2002
FHN FINANCIAL SECURITIES CORP.
BD
CRD#: 46346
MEMPHIS, TN
Past
February 27, 1996 - October 4, 2000
FINANCIAL AMERICA SECURITIES, INC.
BD
CRD#: 5100
CLEVELAND, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/20/2022)
RR
Alaska(11/9/2022)
RR
Arizona(10/26/2022)
RR
Arkansas(10/19/2022)
RR
California(10/19/2022)
RR
Colorado(10/19/2022)
RR
Connecticut(10/18/2022)
RR
Delaware(10/19/2022)
RR
District of Columbia(10/31/2022)
RR
Florida(10/19/2022)
RR
Georgia(10/20/2022)
RR
Hawaii(10/19/2022)
RR
Idaho(10/18/2022)
RR
Illinois(11/2/2022)
RR
Indiana(10/19/2022)
RR
Iowa(10/20/2022)
RR
Kansas(10/21/2022)
RR
Kentucky(10/19/2022)
RR
Louisiana(10/19/2022)
RR
Maine(10/18/2022)
RR
Maryland(10/20/2022)
RR
Massachusetts(10/18/2022)
RR
Michigan(10/20/2022)
RR
Minnesota(10/21/2022)
RR
Mississippi(10/24/2022)
RR
Missouri(10/19/2022)
RR
Montana(10/20/2022)
RR
Nebraska(10/18/2022)
RR
Nevada(11/2/2022)
RR
New Hampshire(10/20/2022)
RR
New Jersey(10/25/2022)
RR
New Mexico(10/19/2022)
RR
New York(10/23/2022)
RR
North Carolina(10/19/2022)
RR
North Dakota(10/24/2022)
RR
Ohio(10/18/2022)
RR
Oklahoma(10/19/2022)
RR
Oregon(10/20/2022)
RR
Pennsylvania(10/19/2022)
RR
Rhode Island(10/24/2022)
RR
South Carolina(10/20/2022)
RR
South Dakota(10/19/2022)
RR
Tennessee(10/19/2022)
RR
Texas(10/18/2022)
RR
Utah(10/19/2022)
RR
Vermont(10/19/2022)
RR
Virginia(10/19/2022)
RR
Washington(10/18/2022)
RR
West Virginia(10/31/2022)
RR
Wisconsin(10/24/2022)
RR
Wyoming(10/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
HG
HOVDE GROUP, LLC
HOVDE GROUP, LLC | HOVDE SECURITIES, INC. | HOVDE SECURITIES LLC
CRD#: 25425 / SEC#: , 8-41597
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1629 Colonial Parkway, Inverness, IL 60067
Mailing Address
1629 Colonial Parkway, Inverness, IL 60067
Phone number
(847) 991-6622
Established
Delaware since 10/11/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOVDE, STEVEN DONALD | CHAIRMAN, CHIEF EXECUTIVE OFFICER | 1907781 |
| BARBARINE, NICKOLAS JOHN | SENIOR MANAGING PARTNER | 2274812 |
| HOVDE, KIRK STEVEN | MANAGING PARTNER/HEAD OF INVESTMENT BANKING | 5552791 |
| DAVIS, PATRICIA LYNN | CHIEF COMPLIANCE OFFICER | 5613123 |
| DIJOHN, ANTHONY JOHN | CFO/FINOP | 6370306 |
| HEDREI, MICHAEL STEPHEN | MANAGING PARTNER/HEAD OF CAPITAL MARKETS | 4243972 |
Disclosures
| Regulatory Event | 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.
