RW
Richard A. Williams
HINES PRIVATE WEALTH SOLUTIONS LLC
Houston, TX 77002
Some features on this profile are disabled
CRD#: 6029844
RW
Professional summary
Richard Anthony Williams, who also goes by Rich Anthony Williams, is a registered financial professional currently at HINES PRIVATE WEALTH SOLUTIONS LLC located in Houston, Texas.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2012. Richard has worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Rich Anthony Williams
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 Anthony Williams'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
April 25, 2012 - Present
HINES PRIVATE WEALTH SOLUTIONS LLC
Office #1: 845 Texas Avenue Suite 3300, Houston, TX 77002BD
CRD#: 128145
Houston, TX
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(2/18/2015)
RR
Alaska(2/18/2015)
RR
Arizona(2/18/2015)
RR
Arkansas(2/18/2015)
RR
California(2/18/2015)
RR
Colorado(2/18/2015)
RR
Connecticut(2/18/2015)
RR
Delaware(2/18/2015)
RR
District of Columbia(2/18/2015)
RR
Florida(2/18/2015)
RR
Georgia(2/18/2015)
RR
Hawaii(2/18/2015)
RR
Idaho(2/18/2015)
RR
Illinois(2/18/2015)
RR
Indiana(1/28/2015)
RR
Iowa(2/18/2015)
RR
Kansas(2/18/2015)
RR
Kentucky(1/28/2015)
RR
Louisiana(2/18/2015)
RR
Maine(2/18/2015)
RR
Maryland(2/18/2015)
RR
Massachusetts(2/18/2015)
RR
Michigan(1/28/2015)
RR
Minnesota(2/18/2015)
RR
Mississippi(2/18/2015)
RR
Missouri(2/18/2015)
RR
Montana(2/18/2015)
RR
Nebraska(2/18/2015)
RR
Nevada(2/18/2015)
RR
New Hampshire(2/18/2015)
RR
New Jersey(2/18/2015)
RR
New Mexico(2/18/2015)
RR
New York(2/18/2015)
RR
North Carolina(2/19/2015)
RR
North Dakota(2/18/2015)
RR
Ohio(1/28/2015)
RR
Oklahoma(2/18/2015)
RR
Oregon(2/18/2015)
RR
Pennsylvania(2/18/2015)
RR
Puerto Rico(2/18/2015)
RR
Rhode Island(2/18/2015)
RR
South Carolina(2/18/2015)
RR
South Dakota(2/18/2015)
RR
Tennessee(2/18/2015)
RR
Texas(6/19/2012)
RR
Utah(2/18/2015)
RR
Vermont(2/18/2015)
RR
Virginia(2/18/2015)
RR
Washington(2/18/2015)
RR
West Virginia(2/18/2015)
RR
Wisconsin(2/18/2015)
RR
Wyoming(2/18/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
HP
HINES PRIVATE WEALTH SOLUTIONS LLC
HINES PRIVATE WEALTH SOLUTIONS LLC | HINES SECURITIES, INC. | HINES REAL ESTATE SECURITIES, INC. | HINES REAL ESTATE INVESTMENTS, INC.
CRD#: 128145 / SEC#: , 8-66096
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Mailing Address
845 Texas Avenue Suite 3300, Houston, TX 77002
Phone number
(888) 446-3773
Established
Delaware since 03/28/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HINES RETAIL SECURITIES LLC | OWNER | |
| CARUSO, JOHN ARMOND | MANAGING DIRECTOR, MANAGER | 5524146 |
| FERRARO, PAUL JAMES | SENIOR MANAGING DIRECTOR - HEAD OF PRIVATE WEALTH SOLUTIONS, MANAGER, CEO | 2479671 |
| FOGG, RICHARD MATTHEW JR | MANAGING DIRECTOR - SHAREHOLDER SERVICES AND OPERATIONS; ANTI-MONEY LAUNDERING COMPLIANCE OFFICER; SECRETARY AND TREASURER | 2669807 |
| HILL, LERONICA CARRIETTA | CHIEF COMPLIANCE OFFICER; EXECUTIVE REPRESENTATIVE; ASSISTANT SECRETARY | 4936282 |
| HUSSEIN, SHAUN R | PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5193143 |
Disclosures
| Regulatory Event | 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.
Company Information
HINES PRIVATE WEALTH SOLUTIONS LLC
CRD#: 128145Houston, TX 77002TRUST BUT VERIFY
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