Richard H. Driehaus
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 Herman Driehaus was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1968. Richard had worked at 5 firms and has passed the SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1981 - December 31, 2019
DRIEHAUS SECURITIES LLC
June 25, 1976 - June 12, 1981
JESUP & LAMONT SECURITIES CO., INC.
September 4, 1974 - July 16, 1976
AMERIPRISE ADVISOR SERVICES, INC.
August 16, 1973 - September 28, 1974
MULLANEY, WELLS & COMPANY
November 8, 1968 - September 8, 1973
A G BECKER & CO INC
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
Series 1
Date: 10/30/1968
Registered Representative ExaminationCurrent Firm
DRIEHAUS SECURITIES LLC
CRD#: 8197 / SEC#: , 8-24024
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DRIEHAUS CAPITAL HOLDINGS LLLP | MEMBER | |
| DRIEHAUS, RICHARD HERMAN | CHAIRMAN | 72026 |
| KOCHEVAR, ANNE STEELE | CHIEF COMPLIANCE OFFICER | 1281519 |
| KURINSKY, ROBERT MICHAEL | CHIEF FINANCIAL OFFICER AND TREASURER | 4642292 |
| MCWILLIAMS, JANET LYNN | GENERAL COUNSEL AND SECRETARY | 2730133 |
| SEFTENBERG, THOMAS MCKEAN | DIRECTOR OF RELATIONSHIP MANAGEMENT AND MARKETING | 3127527 |
| WEBER, STEPHEN THOMAS | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 3223117 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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