Team

Rheece Hilliard

role not on file
Where things stand
  • On Derek's team per the shared Perplexity client-prep project; role not on file. Holds a Series 7 and 63 from Wells Fargo (spring 2024), left there spring 2025, then worked as a compliance consultant to CCOs.
  • First direct ask of JT on 2026-09-09: whether those licenses survive the FINRA CE deadline he missed in December 2025. He expects the answer is no and said TCM does not plan to hold them. JT said 2026-09-11 he would look into it; answer still owed.
  • Named by Jamar on 2026-09-05 as the other person affected by the missing process for documenting client follow-ups pending on Derek; whatever JT defines has to reach him.
  • Would be a direct beneficiary of the mechanical client-prep rebuild JT offered Derek.
1open ask of you
Relationship to JT
Colleague on Derek's side of the house; shares Derek's Perplexity client-prep project with Jamar Anderson (Derek said "Reese" on 2026-09-03; Teams spells it Rheece)
Email
rhilliard@triumphcapitalmanagement.com
Channels
Teams 1:1 (last activity 2026-09-11); group chat with Jamar
Notion tasks
none
Related files
Last meeting
2026-08-05 Teams meeting organized by Jamar with JT (calendar only; no record yet); last correspondence 2026-09-11 → record
Last updated
2026-09-12

Focused on

  • Where his personal FINRA registrations stand now that he is at an RIA and missed the December 2025 CE window. record
  • Client prep through the Perplexity project shared with Derek and Jamar. record

Asking me for

  • Whether his Series 7 and 63 can still be kept after missing FINRA CE in December 2025, or whether they are defunct. Status: open — JT replied 2026-09-11 "Let me look into this and I will circle back on it!"; target 2026-09-15. record (Notion: not pushed)
    open

Concerns and frustrations

  • Mild, about himself: "I unfortunately missed the time frame for Continuing Education in December 2025." No complaint about the Firm. record
  • Raised on his behalf by Jamar, not by him: he relays client follow-up commitments that depend on Derek and has no defined way to record that the item is pending on the advisor. record

Doable vs. not doable

  • A factual answer on the FINRA two-year window and the CE deadline → doable from public rules. Keeping the licenses through TCM → not doable; the Firm is not a FINRA member. record

How to work with them

  • Asks in one complete, dated paragraph and then pre-empts the answer he expects ("TCM doesn't plan to hold the licenses so its okay..."). Confirm or correct the premise directly; he is not looking for reassurance. record
  • A holding reply ("Let me look into this") got an immediate "Thanks Jeff!" — he is fine waiting once he knows it is on the list. record

Crossover

  • touches Jamar Anderson: Jamar asked JT about "our continuing education" ninety minutes earlier and withdrew it; the two questions are different regimes (NASAA IAR CE versus FINRA CE) and should be answered separately. record · Jamar
  • touches Jamar Anderson and Derek Eichenwald: Jamar asked Compliance for a documentation process covering both of them, citing client escalations that name regulators. record
  • touches Derek Eichenwald and Jamar Anderson: the shared Perplexity client-prep project. record

Decisions log

Nothing yet.

Meeting log

DateTitleRecord
2026-09-08
Nydia Retirement Solutions resignation letter received, with Form 5558 (email, copied)
record
2026-09-09
Lapsed FINRA licenses — Series 7 and 63, CE missed December 2025 (Teams 1:1; JT's holding reply 2026-09-11)
record

History

Nothing yet.

Records with Rheece