Richard John Horgan
Professional Summary
Richard John Horgan is a registered financial advisor currently at DV SECURITIES, LLC located in Chicago, Illinois and DV EQUITIES located in Chicago, Illinois. Richard is registered as a RR (Registered Representative) and started their career in finance in 2017. Richard has worked at 3 firms and has passed the Series 3, Series 99TO, SIE and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
7 years in the financial services industry
Current & Past Employments
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Current Firm
DV EQUITIES | DV SECURITIES II, LLC | DV EQUITIES, LLC
Contact Information
Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605Phone Number
(312) 837-0649Established
Delaware since 12/09/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard John Horgan's CRS (Customer Relationship Summary).
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