TrueAdvisor
TrueAdvisor
RH
CFA
RH
CFA

Richard Doyle Hatton

Piper Sandler & CO.
23 Years of Experience
Broker
View SEC Summary
View SEC Summary
Areas of Practice
Investment Management
Piper Sandler & CO.
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
22 advisors
Number of Clients
2 clients
Average Client Portfolio
$992.5M average
Assets Under Management
$2.0B

Location

250 E 5th Street, 15th Floor, Cincinnati, OH, 45202

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History

Regulatory History
Clean regulatory record

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.

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Employment History
Current Registrations
Piper Sandler & CO.Broker
September 2019 - Present · 6 yrs 5 mos
Piper Sandler & CO.
September 2019 - Present · 6 yrs 5 mos
Previous Registrations
Crews & Associates, INC.Broker
November 2018 - September 2019 · 10 mos
Huntington Financial Advisors
April 2017 - November 2018 · 1 yr 7 mos
The Huntington Investment CompanyBroker
April 2017 - November 2018 · 1 yr 7 mos
Hilltop Securities INC.Broker
January 2016 - March 2017 · 1 yr 2 mos
First Southwest Company, LLCBroker
February 2013 - January 2016 · 2 yrs 11 mos
RBC Capital Markets, LLC
June 2007 - December 2012 · 5 yrs 6 mos
RBC Capital Markets, LLCBroker
June 2007 - December 2012 · 5 yrs 6 mos
Seasongood & MayerBroker
July 2006 - June 2007 · 11 mos
UBS Securities LLCBroker
January 2006 - June 2006 · 5 mos
UBS Financial Services INC.Broker
April 2005 - January 2006 · 9 mos
J.P. Morgan Securities INC.Broker
February 2003 - February 2005 · 2 yrs
Ross, Sinclaire & Associates, INC.Broker
April 2001 - January 2002 · 9 mos
Mcdonald Investments INC.Broker
September 2000 - April 2001 · 7 mos
State Registrations3 states
KYMNOH
AdvisorBroker
Exams
No exam information available for this advisor.