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Robert Henry Hotz

Houlihan Lokey Capital, Inc.

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About Robert Henry Hotz

Robert Hotz is a registered representative with Houlihan Lokey Capital, Inc. Robert has been in the securities industry since 1969. Robert holds licenses for Series 1, 7TO, 24, 40, and 79TO exams. Robert is registered in the following states: Colorado, District of Columbia, Florida, Louisiana, Maryland, New Jersey, New York, Ohio, and Vermont. Robert was previously registered with UBS WARBURG LLC, SBC WARBURG DILLON READ INC., SBF SECURITIES COMPANY, L.P., and SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED.

Firm Information

Robert Hotz is currently registered with Houlihan Lokey Capital, Inc.. Houlihan Lokey Capital, Inc. is a Corporation formed on January 9, 1996, and is registered in all 50 states and the District of Columbia. The firm has been approved for registration with the Securities and Exchange Commission (SEC).

Not reported

Assets Under Management

Not reported

Total Clients

651

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Robert Hotz’s Registration & Firm History

FL

06/26/2002 - Present

Houlihan Lokey Capital, Inc. (MIAMI FL)

NY

06/29/1998 - 06/26/2002

UBS WARBURG LLC (NEW YORK NY)

CT

07/01/1991 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NA

03/16/1990 - 10/09/1991

SBF SECURITIES COMPANY, L.P.

NY

01/02/1969 - 05/01/1991

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/02/2023

Series 24 - General Securities Principal Examination

BC

Issued 06/13/1974

Series 40 - Registered Principal Examination

BC

Issued 01/02/2023

Series 7TO - General Securities Representative Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/30/1968

Series 1 - Registered Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Robert Henry Hotz.
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