RF
Richard J. Funk
HARBOR FUNDS DISTRIBUTORS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4175576
RF
Professional summary
Richard James Funk is a registered financial professional currently at HARBOR FUNDS DISTRIBUTORS, INC. located in Chicago, Illinois.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Richard James Funk's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 21, 2001 - Present
HARBOR FUNDS DISTRIBUTORS, INC.
Office #1: 111 South Wacker Drive 34th Floor, Chicago, IL 60606BD
CRD#: 113506
Chicago, IL
Past
April 16, 2001 - September 21, 2001
HCA SECURITIES, INC.
BD
CRD#: 18247
TOLEDO, OH
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(3/16/2023)
RR
Alaska(3/28/2023)
RR
Arizona(3/23/2023)
RR
Arkansas(3/29/2023)
RR
California(3/17/2023)
RR
Colorado(3/17/2023)
RR
Connecticut(3/16/2023)
RR
Delaware(3/22/2023)
RR
District of Columbia(3/21/2023)
RR
Georgia(3/20/2023)
RR
Hawaii(3/17/2023)
RR
Idaho(3/20/2023)
RR
Illinois(3/14/2002)
RR
Indiana(3/21/2023)
RR
Iowa(3/16/2023)
RR
Kansas(3/16/2023)
RR
Kentucky(3/23/2023)
RR
Louisiana(3/20/2023)
RR
Maine(3/17/2023)
RR
Maryland(3/21/2023)
RR
Massachusetts(3/20/2023)
RR
Michigan(3/20/2023)
RR
Minnesota(3/20/2023)
RR
Mississippi(3/20/2023)
RR
Missouri(3/17/2023)
RR
Montana(3/16/2023)
RR
Nebraska(3/16/2023)
RR
Nevada(3/22/2023)
RR
New Hampshire(3/22/2023)
RR
New Jersey(3/16/2023)
RR
New Mexico(3/20/2023)
RR
New York(3/17/2023)
RR
North Carolina(3/20/2023)
RR
North Dakota(3/20/2023)
RR
Ohio(3/16/2023)
RR
Oklahoma(3/22/2023)
RR
Oregon(3/17/2023)
RR
Pennsylvania(3/17/2023)
RR
Puerto Rico(3/28/2023)
RR
Rhode Island(3/23/2023)
RR
South Carolina(3/27/2023)
RR
South Dakota(3/22/2023)
RR
Tennessee(3/17/2023)
RR
Texas(3/17/2023)
RR
Utah(3/17/2023)
RR
Vermont(3/16/2023)
RR
Virgin Islands(3/17/2023)
RR
Virginia(3/20/2023)
RR
Washington(3/20/2023)
RR
West Virginia(3/16/2023)
RR
Wisconsin(3/20/2023)
RR
Wyoming(3/21/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HF
HARBOR FUNDS DISTRIBUTORS, INC.
BCA SECURITIES, INC. | HCA SECURITIES, INC. | HARBOR FUNDS DISTRIBUTORS, INC.
CRD#: 113506 / SEC#: , 8-53339
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Mailing Address
111 South Wacker Drive 34th Floor, Chicago, IL 60606
Phone number
(312) 443-4420
Established
Delaware since 02/21/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
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.
