Richard A. Seehawer
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 Aaron Seehawer, CFP®, who also goes by Aaron Seehawer, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 7 firms and has passed the Series 65, Series 63, 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
March 3, 2014 - July 1, 2014
TITAN SECURITIES
October 12, 2012 - July 1, 2014
TITAN SECURITIES
April 7, 2011 - August 21, 2012
FOOTHILL SECURITIES, INC.
February 10, 2010 - August 7, 2024
CONCIERGE PRIVATE WEALTH MANAGEMENT, LLC
January 13, 2010 - January 14, 2010
FIRST MIDWEST SECURITIES, INC.
August 26, 2009 - January 14, 2010
FIRST MIDWEST SECURITIES, INC.
July 8, 2004 - September 21, 2005
WORLDWIDE TAX & FINANCIAL STRATEGIES - RIA, LLC
June 9, 2003 - September 2, 2009
HORNOR, TOWNSEND & KENT, LLC
June 3, 2003 - June 16, 2004
CAPITAL PRESERVATION GROUP OF AZ, INC.
April 7, 2000 - September 2, 2009
HORNOR, TOWNSEND & KENT, 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
TITAN SECURITIES
CRD#: 131392 / SEC#: , 8-66462
Contact information
FINRA licenses (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 950 |
| AUM (Assets Under Management) | $ 70,000,000 |
Disclosures
| Regulatory Event | 7 |
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.
