Richard H. Litton
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 Henry Litton, who also goes by Richard H Litton, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1976. Richard had worked at 7 firms and has passed the SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - November 18, 2020
NEXBANK SECURITIES INC
August 7, 2017 - July 5, 2019
CYPRESS POINT WEALTH MANAGEMENT, LLC
March 14, 2017 - September 5, 2017
NEXBANK SECURITIES INC
July 3, 1995 - April 17, 2015
HILLTOP SECURITIES INC.
December 22, 1993 - August 2, 1995
BANCAMERICA SECURITIES, INC.
May 21, 1987 - June 15, 1993
FIRST SOUTHWEST COMPANY, LLC
September 26, 1978 - May 14, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1976 - September 26, 1978
WHITE, WELD & CO. INCORPORATED
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
NEXBANK SECURITIES INC
CRD#: 133267 / SEC#: 801-111780, 8-66705
Contact information
FINRA licenses (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 882,487 |
Disclosures
| Regulatory Event | 2 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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