Rick L. Law

RICK LAW FINANCIAL SERVICES LLC

AURORA, IL 60502

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CRD#: 1171329

Professional summary

Rick Lee Law is a registered financial advisor currently at RICK LAW FINANCIAL SERVICES LLC located in Aurora, Illinois.

Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Rick has worked at 3 firms and has passed the Series 65, Series 63 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

LAW ELDER LAW, LLP : RICK LAW IS THE FOUNDING ATTORNEY AND MAJORITY PARTNER. FIRM PROVIDES LEGAL SERVICES CONCENTRATED IN ESTATE PLANNING, TAXATION, ASSET PROTECTION, GUARDIANSHIP, AND GOVERNMENT HEALTH RESOURCES SUCH AS MEDICAID AND VETERANS BENEFITS FOR SENIORS. LAW ELDERLAW, LLP STARTED IN MARCH OF 2005. IT IS A NON-INVESTMENT-RELATED BUSINESS. LAW ELDERLAW HAS 3 PARTNERS AND 3 ASSOCIATE ATTORNEYS. MY DUTIES ARE PRIMARILY MANAGEMENT AND CLIENT RELATIONSHIPS. ELDER RESOURCE, INC. (HEREINAFTER ERI): ERI IS REGISTERED WITH THE STATE OF ILLINOIS AS AN INSURANCE PRODUCER ENTITY. I AM LICENSED TO SELL LIFE, HEALTH, LONG-TERM CARE INSURANCE. ERI HAS 2 EMPLOYEES. RICK LAW THE PRESIDENT OF THE ORGANIZATION. THIS IS A INSURANCE AGENCY AND NOT A SECURITIES INVESTMENT RELATED FIRM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Lee Law's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 13, 2014 - Present

RICK LAW FINANCIAL SERVICES LLC

Office #1: 2277 Church Road, Aurora, IL 60502

RIA

CRD#: 171491

AURORA, IL

Past

August 1, 1984 - December 21, 1990

CHARTERED PLANNING, LTD.

CRD#: 13029

Past

May 7, 1984 - September 14, 1984

TWO RIVERS BROKERAGE COMPANY, INC.

CRD#: 13372

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(6/13/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/8/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/22/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 22

Date: 7/1/1983

Direct Participation Programs Representative Examination

Current Firm

RICK LAW FINANCIAL SERVICES LLC

RICK LAW FINANCIAL SERVICES LLC | RICK LAW FINANCIAL SERVICES, LLC

CRD#: 171491 / SEC#:

Illinois

Registered Investment Advisory firm - (6/13/2014 Approved)

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Contact information

Main Address

2277 Church Road, Aurora, IL 60502

Mailing Address

Phone number

(630) 820-5717

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Rick L. Law

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Lee Law's CRS (Customer Relationship Summary).

Certified licenses

Experience

RICK LAW FINANCIAL SERVICES LLC

CHARTERED PLANNING, LTD.

TWO RIVERS BROKERAGE COMPANY, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/8/2014

Series 63

Date: 8/22/1983

Series 22

Date: 7/1/1983

Current Firm

RICK LAW FINANCIAL SERVICES LLC

Contact information

Documents

Red Flags

Company Information

RICK LAW FINANCIAL SERVICES LLC

TRUST BUT VERIFY

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