Shirley A. Raabe
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shirley Anne Raabe, who also goes by Shirley Raabe, Shirley Anne Rushworth, Shirley Anne Akers Rushworth, Shirley Rushworth, was a registered financial professional .
Shirley is a previously registered financial professional and started their career in finance in 1983. Shirley had worked at 4 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 7, 2020 - May 4, 2022
THE LEADERS GROUP, INC.
November 29, 2017 - December 31, 2018
THE LEADERS GROUP, INC.
November 19, 2013 - December 31, 2015
THE LEADERS GROUP, INC.
October 28, 2008 - December 31, 2011
THE LEADERS GROUP, INC.
March 8, 2006 - December 31, 2006
THE LEADERS GROUP, INC.
February 3, 2004 - March 24, 2004
THE LEADERS GROUP, INC.
November 30, 1998 - March 14, 2002
THE LEADERS GROUP, INC.
November 6, 1998 - November 30, 1998
THE LEADERS GROUP, INC.
August 28, 1997 - November 19, 1998
SECURIAN FINANCIAL SERVICES, INC.
May 12, 1986 - August 6, 1997
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
June 3, 1983 - November 5, 1984
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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