Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Hatton is a financial advisor with over 20 years of experience in the industry. He is currently registered with Piper Sandler & Co. in Ohio and Minnesota. Prior to joining Piper Sandler & Co., Richard held various roles at other financial institutions, including Crews & Associates, Inc., The Huntington Investment Company, Hilltop Securities Inc., First Southwest Company, LLC, RBC Capital Markets, LLC, Seasongood & Mayer, UBS Securities LLC, UBS Financial Services Inc., J.P. Morgan Securities Inc., Ross, Sinclaire & Associates, Inc., and McDonald Investments Inc. Richard is also a Chartered Financial Analyst.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
OH
09/04/2019 - Present
Piper Sandler & Co. (Cincinnati OH)
OH
11/19/2018 - 09/03/2019
CREWS & ASSOCIATES, INC. (Cincinnati OH)
OH
04/07/2017 - 11/07/2018
THE HUNTINGTON INVESTMENT COMPANY (CINCINNATI OH)
OH
01/04/2016 - 03/14/2017
HILLTOP SECURITIES INC. (CINCINNATI OH)
OH
02/22/2013 - 01/22/2016
FIRST SOUTHWEST COMPANY, LLC (CINCINNATI OH)
OH
06/15/2007 - 12/21/2012
RBC CAPITAL MARKETS, LLC (CINCINNATI OH)
OH
07/11/2006 - 06/19/2007
SEASONGOOD & MAYER (CINCINNATI OH)
IL
01/16/2006 - 06/08/2006
UBS SECURITIES LLC (CHICAGO IL)
NJ
04/26/2005 - 01/16/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
02/11/2003 - 02/18/2005
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
OH
04/16/2001 - 01/16/2002
ROSS, SINCLAIRE & ASSOCIATES, INC. (CINCINNATI OH)
OH
09/12/2000 - 04/19/2001
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
BOTH
Issued 09/21/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/18/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/28/2016
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 09/11/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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