RH
Richard D. Hatton
PIPER SANDLER & CO.
Cincinnati, OH 45202
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CRD#: 4242137
RH
Professional summary
Richard Doyle Hatton, CFA is a registered financial advisor currently at PIPER SANDLER & CO. located in Cincinnati, Ohio.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 12 firms and has passed the Series 66, Series 79TO, Series 52TO, SIE, Series 50, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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) - RIA
Click below to view Richard Doyle Hatton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Doyle Hatton'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®
Experience
Current
September 4, 2019 - Present
PIPER SANDLER & CO.
Office #1: 250 E 5th Street 15th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 665
Cincinnati, OH
Current
September 4, 2019 - Present
PIPER SANDLER & CO.
Office #1: 250 E 5th Street 15th Floor, Cincinnati, OH 45202RIA
BD
CRD#: 665
Cincinnati, OH
Past
November 19, 2018 - September 3, 2019
CREWS & ASSOCIATES, INC.
BD
CRD#: 8052
Cincinnati, OH
Past
April 7, 2017 - November 7, 2018
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
CINCINNATI, OH
Past
April 7, 2017 - November 7, 2018
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
CINCINNATI, OH
Past
January 4, 2016 - March 14, 2017
HILLTOP SECURITIES INC.
BD
CRD#: 6220
CINCINNATI, OH
Past
February 22, 2013 - January 22, 2016
FIRST SOUTHWEST COMPANY, LLC
BD
CRD#: 316
CINCINNATI, OH
Past
June 18, 2007 - December 21, 2012
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
CINCINNATI, OH
Past
June 15, 2007 - December 21, 2012
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
CINCINNATI, OH
Past
July 11, 2006 - June 19, 2007
SEASONGOOD & MAYER
BD
CRD#: 3321
CINCINNATI, OH
Past
January 16, 2006 - June 8, 2006
UBS SECURITIES LLC
BD
CRD#: 7654
CHICAGO, IL
Past
April 26, 2005 - January 16, 2006
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 11, 2003 - February 18, 2005
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
Past
April 16, 2001 - January 16, 2002
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
CINCINNATI, OH
Past
September 12, 2000 - April 19, 2001
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Minnesota(9/4/2019)
RR
Ohio(9/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
PIPER SANDLER & CO.
PIPER JAFFRAY & CO. | U.S. BANCORP PIPER JAFFRAY INC. | RESTRUCTURING GROUP | TRS ADVISORS (PART OF INVESTMENT BANKING) | PRIVATE CAPITAL ADVISORY GROUP, AVIDITI ADVISORS | PIPER, JAFFRAY & HOPWOOD INCORPORATED | PIPER SANDLER & CO. | PIPER JAFFRAY INC.
CRD#: 665 / SEC#: 801-108049, 8-15204
RIA
Registered Investment Advisory firm - SEC (8/4/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Mailing Address
350 N 5th Street Suite 1000, Minneapolis, MN 55401
Phone number
(612) 303-6000
Established
Delaware since 07/28/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,370
SEC notice filing (9 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PIPER SANDLER COMPANIES | PARENT | |
| ABRAHAM, CHAD RICHARD | CHAIRMAN, CEO; BOARD MEMBER | 2190836 |
| CLUNE, KATHERINE PATRICIA | CFO; BOARD MEMBER | 4624219 |
| COX, MICHAEL EDWARD | CO-HEAD OF EQUITIES; BOARD MEMBER | 4248868 |
| DILLAHUNT, MICHAEL RAY | CO-HEAD INV BKG & CAP MKTS; BOARD MEMBER | 3056486 |
| DOYLE, JONATHAN JAY | HEAD OF FINANCIAL SERVICES GROUP | 2108121 |
| GEELAN, JOHN WILLIAM JR. | CHIEF LEGAL OFFICER | 4905460 |
| GERBER, JEREMY JOSEPH | CO HEAD OF PUBLIC FINANCE; BOARD MEMBER | 5071604 |
| LARSEN, BRIDGET TERE | CHIEF COMPLIANCE OFFICER | 6643130 |
| SCHONEMAN, DEBBRA LYNN | PRESIDENT; BOARD MEMBER | 1980635 |
Regulatory assets under management
| Total Number of Accounts | 1 |
| AUM (Assets Under Management) | $ 1,985,004,532 |
Disclosures
| Regulatory Event | 141 |
| Civil Event | 1 |
| Arbitration | 50 |
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.
Company Information
PIPER SANDLER & CO.
CRD#: 665Cincinnati, OH 45202TRUST BUT VERIFY
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