Richard S. Hoermann
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 Scott Hoermann, CIMA®, who also goes by Scott Hoermann, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2024 - February 16, 2024
FISHER INVESTMENTS
January 16, 2020 - February 4, 2020
ALGORITHMIC INVESTMENT MODELS
May 29, 2018 - October 17, 2019
CAPITAL CLIENT GROUP, INC.
March 14, 2018 - October 17, 2019
CAPITAL CLIENT GROUP, INC.
January 19, 2017 - June 26, 2017
NEXPOINT SECURITIES, INC.
April 28, 2006 - April 20, 2016
CHARLES SCHWAB & CO., INC.
August 21, 2001 - January 4, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
August 13, 1996 - August 21, 2000
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
Primary Firm SEC Registration
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
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
Current Firm
FISHER INVESTMENTS
CRD#: 107342 / SEC#: 801-29362
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 422,516 |
| AUM (Assets Under Management) | $ 386,669,724,038 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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