Richard Hurt
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 Hurt, who also goes by Richard William Hurt III, Richard William Hurt, Richard Hurt, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2006. Richard had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2017 - August 15, 2017
DWS DISTRIBUTORS, INC.
March 2, 2016 - January 25, 2017
DEUTSCHE BANK SECURITIES INC.
December 10, 2015 - March 15, 2016
JPMORGAN DISTRIBUTION SERVICES, INC.
October 1, 2012 - December 14, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 14, 2015
J.P. MORGAN SECURITIES LLC
April 29, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 20, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 13, 2008 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
March 13, 2008 - April 7, 2010
NATIONWIDE SECURITIES, LLC
October 13, 2006 - July 2, 2007
PRUCO SECURITIES, 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
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
