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Registered advisor
F•••••••• J•••• H••••••
Feed of 09/15/2026
Also filed as Rick H••••••
At current firm
7 y
since Mar 21, 2019
In the industry
27 y
since Apr 6, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Mar 21, 2019 · Wolcott, Vt
- L•• F•••••••• L•• BD affiliatedJun 30, 2008 to Mar 18, 2019 · Providence, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 12, 2007 to Jul 8, 2008 · Providence, Ri
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Mar 18, 2019, registered Mar 21, 2019 (3 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jul 8, 2008, registered Jun 30, 2008 (-8 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address