Richard W. Cobb
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 Warner Cobb, who also goes by Hutton Cobb, Richard Hutton, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1997. Richard had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2012 - May 15, 2014
INVEST FINANCIAL CORPORATION
August 6, 2012 - May 15, 2014
INVEST FINANCIAL CORPORATION
March 27, 2009 - July 9, 2012
LPL FINANCIAL LLC
March 27, 2009 - July 9, 2012
LPL FINANCIAL LLC
March 23, 2007 - March 31, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 23, 2007 - March 31, 2009
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 19, 2005 - April 4, 2007
UBS FINANCIAL SERVICES INC.
September 19, 2005 - April 4, 2007
UBS FINANCIAL SERVICES INC.
June 27, 2002 - September 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - September 20, 2005
WELLS FARGO CLEARING SERVICES, LLC
June 12, 2002 - June 21, 2002
WACHOVIA SECURITIES, INC.
February 14, 2000 - June 15, 2002
WACHOVIA SECURITIES, INC.
March 9, 1998 - February 14, 2000
WACHOVIA BROKERAGE SERVICE
October 17, 1997 - November 12, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
INVEST FINANCIAL CORPORATION
CRD#: 12984 / SEC#: 801-56411, 8-27691
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL PLANNING HOLDINGS, INC. | SHAREHOLDER | |
| COLEMAN, CAREN LESLIE | VICE PRESIDENT | 4298287 |
| COLLINS, MAURA KATHRYN | SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER - NATIONAL PLANNING HOLDINGS | 4761732 |
| DOWDEN, STEVEN HOWARD | PRESIDENT, CEO, DIRECTOR; NPH PRESIDENT & CEO | 2666894 |
| GUNDERSON, GERRY A | NPH GENERAL COUNSEL & SVP OF REGULATORY AFFAIRS | 2448501 |
| HARRIS, BRADLEY OLAN | DIRECTOR | 6589930 |
| LAMBRECHTS, VANESSA MARIE RODRIGUEZ | VP, FINOP, CONTROLLER | 4800775 |
| MCCALLOP, PATRICIA ANN | NPH AND NPC SVP & CHIEF COMPLIANCE OFFICER | 5059176 |
| MILLER, JAMES PETER | NPH SVP, OPERATIONS; INTERIM CHIEF OPERATIONS OFFICER-INVEST | 1955960 |
| WHITED, SANDRA RENEE | CCO-INVEST; 1ST VICE PRESIDENT-COMPLIANCE | 2444134 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 20 |
| Bond | 2 |
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.
