Larry L. Hilke
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.
Larry Lee Hilke was a registered financial professional .
Larry is a previously registered financial professional and started their career in finance in 1977. Larry had worked at 8 firms and has passed the PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 1994 - January 15, 1996
SUTRO & CO. INCORPORATED
January 29, 1987 - June 30, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 8, 1982 - January 8, 1987
LEHMAN BROTHERS INC.
May 10, 1982 - March 29, 1983
LPL FINANCIAL LLC
June 9, 1981 - February 3, 1984
STRATEGIC DISTRIBUTORS, INC.
January 31, 1980 - March 20, 1986
UBS FINANCIAL SERVICES INC.
November 13, 1979 - August 15, 1980
NEWHARD, COOK & CO. INCORPORATED
April 21, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS 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
PC
Date: 11/1/1982
AMEX Put and Call ExamSeries 8
Date: 12/4/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUTRO & CO. INCORPORATED
CRD#: 801 / SEC#: , 8-15491
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE SUTRO GROUP | HOLDING CO. / SUTRO & CO. | |
| DELANEY, MARY JANE | EXECUTIVE VICE PRESIDENT / GENERAL COUNSEL / SECRETARY | 1194845 |
| HUBBARD, CHARLES WILLIAM | EXECUTIVE VICE PRESIDENT/DIRECTOR | 846511 |
| LUIKART, JOHN FORD | CEO | 314209 |
| MATSUI, ROGER NAOKI | CHIEF FINANCIAL OFFICER | 1672347 |
| MCCARTHY, DENIS JOSEPH | DIRECTOR OF COMPLIANCE REGULATORY AFFAIRS | 1415768 |
| PHILLIPS, JERRY DON | EXECUTIVE VICE PRESIDENT | 1308109 |
| TUCKER ANTHONY SUTRO INCORPORATED | PARENT COMPANY | |
| WILLFONG, DONALD JAMES | DIRECTOR | 467416 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 1 |
| Bond | 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.
