Richard Hatton is a CFA-designated registered investment advisor at Piper Sandler & CO., based in Cincinnati, OH, with 24 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management. Their firm serves 20 clients with $1.3B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
250 E 5th Street, 15th Floor, Cincinnati, OH, 45202
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Piper Sandler & CO.Broker
Piper Sandler & CO.
Previous Registrations
Crews & Associates, INC.Broker
Huntington Financial Advisors
The Huntington Investment CompanyBroker
Hilltop Securities INC.Broker
First Southwest Company, LLCBroker
RBC Capital Markets, LLC
RBC Capital Markets, LLCBroker
Seasongood & MayerBroker
UBS Securities LLCBroker
UBS Financial Services INC.Broker
J.P. Morgan Securities INC.Broker
Ross, Sinclaire & Associates, INC.Broker
Mcdonald Investments INC.Broker
State Registrations3 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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