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RH

Richard J. Horgan

DV SECURITIES
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 6697860
RH

Professional summary

Richard John Horgan is a registered financial professional 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.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard John Horgan'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®
None

Experience

Current

February 7, 2020 - Present

DV SECURITIES, LLC

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605Office #2: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 305134
Chicago, IL
Current

July 6, 2021 - Present

DV EQUITIES

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605
BD
CRD#: 312688
Chicago, IL
Past

November 1, 2017 - January 2, 2018

DV SECURITIES, LLC

BD
CRD#: 284804
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 3
Date: 8/27/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 99TO
Date: 4/19/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 3/1/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/2/2023
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DE
DV EQUITIES
DV EQUITIES | DV SECURITIES II, LLC | DV EQUITIES, LLC

CRD#: 312688 / SEC#: , 8-70659

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Mailing Address
425 S. Financial Place Suite 2800, Chicago, IL 60605
Phone number
(312) 837-0649
Established
Delaware since 12/09/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DV GROUP, LLCMEMBER
CARLINO, ERIC JAMESDIRECTOR OF FIXED INCOME/TRADING PRINCIPAL2898311
HORGAN, RICHARD JOHNCHIEF FINANCIAL OFFICER6697860
KATZ, SHIFRACHIEF COMPLIANCE OFFICER7166902

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

DV EQUITIES

CRD#: 312688Chicago, IL 60605

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