Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based Hilltop Securities broker Richard Cagle has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Cagle (CRD# 2122648).
Richard Cagle has spent 27 years in the securities industry and has been registered with Hilltop Securities in Corpus Christi, Texas since 1997. He was previously registered with Principal Financial Securities in Dallas, Texas (1991-1997). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 20, 1991; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on February 11, 1991. He is a registered broker with three US states: California, Hawaii and Texas.
According to his BrokerCheck report, he has received one pending customer complaint.