Richard Edward Hake
Professional Summary
Richard Edward Hake is a registered financial advisor currently at KIPLING CAPITAL, INC. located in Mill Valley, California. Richard is registered as a RR (Registered Representative) and started their career in finance in 1978. Richard has worked at 5 firms and has passed the Series 63, SIE, Series 22, Series 1 and Series 39 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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LPL FINANCIAL LLC
Videos & Posts
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Contact Information
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DIWY FINANCIAL PLANNING
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
LPL FINANCIAL LLC
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Disclosures on record.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
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Current Firm
ALTOS SECURITIES, INC. | LOS ALTOS INVESTMENT SECURITIES, INC. | KIPLING CAPITAL, INC.
Contact Information
Main Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941Mailing Address
100 Shoreline Hwy. 200-b, Mill Valley, CA 94941Phone Number
(415) 339-4080Established
California since 02/23/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (42 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
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
(4/22/2005)
(9/23/1999)
(8/22/2001)
(9/13/2001)
(3/29/2006)
(10/26/2001)
(8/21/2002)
(9/10/2002)
(5/24/2002)
(10/4/2001)
(11/22/2005)
(5/1/2002)
(10/26/2004)
(8/22/2001)
(2/8/2006)
(3/20/2002)
(3/23/2006)
(2/18/2004)
(2/5/2003)
(11/14/2002)
(5/4/2002)
(5/1/2006)
(10/28/2002)
(9/13/2002)
(10/2/2001)
(6/1/2005)
(6/13/2002)
(12/3/2002)
(5/23/2006)
(9/18/2001)
(1/25/2002)
(10/8/2008)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Sep 1999About the Series 22 examSeries 1 — Registered Representative Examination
Passed May 1978Series 39 — Direct Participation Programs Principal Examination
Passed Nov 1999About the Series 39 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Hake's CRS (Customer Relationship Summary).
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