Richard William Lowe
Professional Summary
Richard William Lowe, who also goes by Rick Lowe, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Rick Lowe
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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THE DALA GROUP, LLC
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Disclosures on record.
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Years of Experience
30 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HOVDE GROUP, LLC | HOVDE SECURITIES, INC. | HOVDE SECURITIES LLC
Contact Information
Main Address
1629 Colonial Parkway, Inverness, IL 60067Mailing Address
1629 Colonial Parkway, Inverness, IL 60067Phone Number
(847) 991-6622Established
Delaware since 10/11/2002Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HOVDE, STEVEN DONALD | CHAIRMAN | 1907781 |
| HOVDE, KIRK STEVEN | CHIEF EXECUTIVE OFFICER | 5552791 |
| BARBARINE, NICKOLAS JOHN | SENIOR MANAGING PARTNER | 2274812 |
| CORSO, MICHAEL PATRICK | PRINCIPAL AND HEAD OF DEPOSITORIES | 4978946 |
| HEDREI, MICHAEL STEPHEN | MANAGING PARTNER/HEAD OF CAPITAL MARKETS | 4243972 |
| DAVIS, PATRICIA LYNN | CHIEF COMPLIANCE OFFICER | 5613123 |
| DIJOHN, ANTHONY JOHN | CFO/FINOP | 6370306 |
Disclosures
Regulatory Event
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THE DALA GROUP, LLC
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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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THE DALA GROUP, LLC
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State Registrations and Notice Filings
(10/20/2022)
(11/9/2022)
(10/26/2022)
(10/19/2022)
(10/19/2022)
(10/19/2022)
(10/18/2022)
(10/19/2022)
(10/31/2022)
(10/19/2022)
(10/20/2022)
(10/19/2022)
(10/18/2022)
(11/2/2022)
(10/19/2022)
(10/20/2022)
(10/21/2022)
(10/19/2022)
(10/19/2022)
(10/18/2022)
(10/20/2022)
(10/18/2022)
(10/20/2022)
(10/21/2022)
(10/24/2022)
(10/19/2022)
(10/20/2022)
(10/18/2022)
(11/2/2022)
(10/20/2022)
(10/25/2022)
(10/19/2022)
(10/23/2022)
(10/19/2022)
(10/24/2022)
(10/18/2022)
(10/19/2022)
(10/20/2022)
(10/19/2022)
(10/24/2022)
(10/20/2022)
(10/19/2022)
(10/19/2022)
(10/18/2022)
(10/19/2022)
(10/19/2022)
(10/19/2022)
(10/18/2022)
(10/31/2022)
(10/24/2022)
(10/20/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard William Lowe's CRS (Customer Relationship Summary).
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