Richard L. Hargus
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.
Richard Leon Hargus was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 3 firms and has passed the Series 63, SIE 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
February 4, 2022 - May 26, 2022
LASALLE ST SECURITIES, L.L.C.
September 12, 2017 - February 8, 2022
AVANTAX INVESTMENT SERVICES, INC.
January 3, 2003 - December 16, 2003
CETERA FINANCIAL SPECIALISTS LLC
November 29, 1999 - January 30, 2003
AVANTAX INVESTMENT SERVICES, INC.
March 4, 1992 - September 30, 1999
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
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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