Richard E. Hake
Professional summary
Richard Edward Hake is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Edward Hake's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 9, 1999 - Present
KIPLING CAPITAL, INC.
Office #1: 100 Shoreline Hwy 200-b, Mill Valley, CA, 94941Office #2: 100 Shoreline Hwy. 200-b, Mill Valley, CA 94941August 7, 1986 - April 14, 1997
PACIFIC UNION CAPITAL CORPORATION
October 11, 1982 - December 21, 1983
CHAZEN SECURITIES, INC.
May 3, 1982 - October 21, 1982
TBA FINANCIAL CORPORATION
May 9, 1978 - August 10, 1981
ENI CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 1
Date: 5/4/1978
Registered Representative ExaminationFINRA
Current Firm
KIPLING CAPITAL, INC.
CRD#: 41196 / SEC#: , 8-49349
Contact information
FINRA licenses (42 States and Territories)
Direct owners and executive officers
Red Flags
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Company Information
KIPLING CAPITAL, INC.
CRD#: 41196Mill Valley, CA 94941TRUST BUT VERIFY
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