Steven R. Rickman
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.
Steven Robert Rickman, who also goes by Steven Prickman, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1995. Steven had worked at 8 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2018 - February 15, 2022
LAKE STREET CAPITAL MARKETS, LLC
January 24, 2013 - April 20, 2018
CRAIG-HALLUM CAPITAL GROUP LLC
September 24, 2010 - January 28, 2013
KINGFISHER SECURITIES, LLC
September 25, 2007 - May 18, 2010
CANTOR FITZGERALD & CO.
August 22, 2003 - July 31, 2007
MERCANTI SECURITIES, LLC
July 17, 1998 - May 23, 2003
PIPER SANDLER & CO.
March 2, 1998 - July 15, 1998
RBC CAPITAL MARKETS, LLC
October 20, 1995 - March 2, 1998
DAIN RAUSCHER INCORPORATED
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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
LAKE STREET CAPITAL MARKETS, LLC
CRD#: 164447 / SEC#: , 8-69101
Contact information
FINRA licenses (30 States and Territories)
Direct owners and executive officers
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
