Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Stone Feild is a registered investment advisor and broker with Hilltop Securities Inc. Richard Feild has been in the financial services industry since 1976. Richard Feild has been registered with Hilltop Securities Inc. since June 27, 2013. Richard Feild has held previous positions at ALPS Distributors, Inc., UBS Financial Services Inc., Mitchell Hutchins Asset Management Inc., Paine Webber Incorporated, Rotan Mosle Inc., Prudential-Bache Securities Inc., Bache Halsey Stuart Inc., Bache & Co Incorporated, and Bache & Co., Incorporated. Richard Feild is registered to offer investment advice in Texas. Richard Feild has a Series 66, Series 65, and Series 63 license. Richard Feild is also a registered principal with Series 9, Series 10, Series 24, Series 4, and Series 12 licenses. Richard Feild has a Series 3, Series 15, Series 5, and Series 7 license. Richard Feild is also licensed to offer securities products in Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Richard Feild is involved in other business ventures, including Texas Heart, WAKE, and Buffalo Speedway Films. Richard Feild provides financial planning services, educational seminars, publication of periodicals, selection of other advisors, and portfolio management for individuals. Richard Feild's current firm, Hilltop Securities Inc., is a broker-dealer and investment advisor with over $1 billion to $10 billion in assets under management. Hilltop Securities Inc. has 69 licensed agents, 113 investment advisor representatives, 113 registered representatives, and 113 investment advisory functions. Hilltop Securities Inc. provides investment advisory services to individuals, corporations, pension and profit-sharing plans, charitable organizations, and high net worth individuals. Hilltop Securities Inc. offers a variety of investment advisory services, including financial planning, educational seminars, publication of periodicals, selection of other advisors, and portfolio management.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
06/27/2013 - Present
Hilltop Securities Inc. (AUSTIN TX)
NY
06/02/2009 - 08/09/2012
ALPS DISTRIBUTORS, INC. (NEW YORK NY)
TX
12/12/2000 - 05/11/2009
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
NY
04/12/1996 - 12/13/2000
MITCHELL HUTCHINS ASSET MANAGEMENT INC. (NEW YORK NY)
NY
11/19/1990 - 02/16/1996
MITCHELL HUTCHINS ASSET MANAGEMENT INC. (NEW YORK NY)
NJ
10/19/1988 - 08/14/1990
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
05/23/1986 - 10/24/1988
ROTAN MOSLE INC.
NA
09/16/1977 - 04/09/1986
PRUDENTIAL-BACHE SECURITIES INC.
NA
08/27/1976 - 09/16/1977
BACHE HALSEY STUART INC.
NA
02/27/1976 - 08/27/1976
BACHE & CO INCORPORATED
NA
11/20/1975 - 02/27/1976
BACHE & CO., INCORPORATED
BOTH
Issued 06/24/2013
Series 66 - Uniform Combined State Law Examination
IA
Issued 08/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/13/1979
Series 24 - General Securities Principal Examination
BC
Issued 07/13/1979
Series 4 - Registered Options Principal Examination
BC
Issued 02/01/1979
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/20/1989
Series 3 - National Commodity Futures Examination
BC
Issued 03/07/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 12/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 11/15/1975
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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