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RS

Richard M. Schlaack

THE LEADERS GROUP
Louisville, KY 40223
Some features on this profile are disabled
CRD#: 4095320
RS

Professional summary

Richard Michael Schlaack, who also goes by Richard M Schlaack, Richard Michael Schlaack, Rich Schlaack, Richard Schlaack, is a registered financial professional currently at THE LEADERS GROUP, INC. located in Louisville, Kentucky and JOHNSTONE BROKERAGE SERVICES, LLC located in Louisville, Kentucky.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard M Schlaack | Richard Michael Schlaack | Rich Schlaack | Richard Schlaack

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.
1. Rental Property, sole proprietor, Cincinatti OH 45208, 10/2000, 4 hrs monthly 2. Various outside insurance appointments RENTAL PROPERTY POSITION: owner NATURE: Real Estate Development Rental and Leasing INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2000 ADDRESS: 1326 Morten St, CIncinnati OH 45208, United States DESCRIPTION: owner maintenance

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Michael Schlaack's CRS (Customer Relationship Summary).
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

May 29, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223
BD
CRD#: 37157
Louisville, KY
Current

November 21, 2025 - Present

JOHNSTONE BROKERAGE SERVICES, LLC

Office #1: 1906 Stanley Gault Pkwy, Louisville, KY 40223Office #2: 1906 Stanley Gault Parkway, Louisville, KY 40223
BD
CRD#: 301394
Louisville, KY
Past

November 14, 2024 - May 7, 2025

LPL ENTERPRISE, LLC

RIA
CRD#: 8733
CINCINNATI, OH
Past

November 14, 2024 - May 7, 2025

LPL ENTERPRISE, LLC

BD
CRD#: 8733
CINCINNATI, OH
Past

August 8, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Cincinnati, OH
Past

August 8, 2024 - November 14, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
Cincinnati, OH
Past

May 7, 2019 - July 29, 2024

PRUCO SECURITIES, LLC.

RIA
CRD#: 5685
Cincinnati, OH
Past

April 29, 2019 - July 29, 2024

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
West Chester, OH
Past

July 14, 2017 - May 6, 2019

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
CINCINNATI, OH
Past

July 14, 2017 - May 6, 2019

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CINCINNATI, OH
Past

January 19, 2016 - July 31, 2017

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

March 20, 2014 - April 21, 2015

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
CINCINNATI, OH
Past

March 3, 2000 - April 3, 2003

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Kentucky
(11/24/2025)
RR
Ohio
(5/29/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/9/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/28/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/20/2014
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
FINRA

Current Firm

JB
JOHNSTONE BROKERAGE SERVICES, LLC
JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394 / SEC#: , 8-70335

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1906 Stanley Gault Parkway, Louisville, KY 40223
Mailing Address
117 San Augustine Street, Center, TX 75935
Phone number
(936) 340-2929
Established
Texas since 12/31/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DPL FINANCIAL PARTNERS, LLCPARENT COMPANY
ARCH PORTFOLIO TRUST, LLCMEMBER.
NAVEED, HASNAINFINOP7004810
PULLIAM, MICHELLE CARROLLCHIEF COMPLIANCE OFFICER4013218
SMITH, ROY THOMASMANAGING PRINCIPAL2542940

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.

Company Information

JOHNSTONE BROKERAGE SERVICES, LLC

CRD#: 301394Louisville, KY 40223

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