Rick L. Seger
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.
Rick Lee Seger was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1997. Rick had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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
August 20, 2012 - October 12, 2018
INVESTMENT ADVISORS CORP
August 20, 2012 - October 12, 2018
BROKER DEALER FINANCIAL SERVICES CORP.
January 19, 1999 - February 3, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 11, 1997 - August 26, 1998
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTMENT ADVISORS CORP
CRD#: 117531 / SEC#: 801-69573
Contact information
Red Flags
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