Rick A. Shaffer
Professional summary
Rick Allen Shaffer, who also goes by Rick Shaffer, is a registered financial professional currently at LASALLE ST SECURITIES, L.L.C. located in Columbus, Ohio.
Rick is registered as a RR (Registered Representative) and started their career in finance in 1994. Rick has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rick Allen Shaffer's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 21, 2002 - Present
LASALLE ST SECURITIES, L.L.C.
Office #1: 2136 W. Henderson Rd., Columbus, OH 43220May 2, 2000 - June 19, 2002
GUNNALLEN FINANCIAL, INC
May 10, 1999 - May 2, 2000
MPI FINANCIAL
May 6, 1994 - April 20, 1999
CORNA SECURITIES, 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
(5/21/2002)
(5/21/2002)
Exams
Series 62
Date: 5/2/1994
Corporate Securities Limited Representative ExaminationFINRA
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
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