Richard C. Troutman
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 Charles Troutman JR, who also goes by Richard Troutman, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2004 - October 31, 2014
HEDGE HARBOR INC.
January 2, 2002 - March 12, 2004
LEIGH BALDWIN & CO., LLC
June 28, 1999 - January 17, 2002
IICC - TRADECO, INC.
January 7, 1998 - February 3, 1999
ANGLO-AMERICAN INVESTOR SERVICES CORP.
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
HEDGE HARBOR INC.
CRD#: 44324 / SEC#: , 8-50629
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ASSET ALLIANCE HOLDING CORP. | SHAREHOLDER | |
| LIPNICK, BRUCE HOWARD | CHAIRMAN, CEO, CCO, DIRECTOR, GSP | 1095377 |
Red Flags
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