Richard W. Sniezek
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 Walter Sniezek was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1973. Richard had worked at 9 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 1999 - January 25, 2016
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
April 5, 1989 - January 22, 2016
LASALLE ST SECURITIES, L.L.C.
February 13, 1989 - April 3, 1989
THOMSON MCKINNON SECURITIES INC.
September 13, 1988 - February 22, 1989
D.R. DWYER & COMPANY
October 30, 1987 - September 26, 1988
SINGER & COMPANY SECURITIES, INC.
February 2, 1987 - October 14, 1987
HAMILTON INVESTMENTS, INC.
January 14, 1985 - December 17, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 1977 - January 7, 1985
CITIGROUP GLOBAL MARKETS INC.
September 12, 1973 - December 10, 1973
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
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 15
Date: 7/13/1988
Foreign Currency Options ExaminationSeries 5
Date: 5/18/1982
Interest Rate Options ExaminationSeries 1
Date: 9/7/1973
Registered Representative ExaminationCurrent Firm
LASALLE ST. INVESTMENT ADVISORS, L.L.C.
CRD#: 109701 / SEC#: 801-33422
Contact information
SEC notice filing (46 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,941 |
| AUM (Assets Under Management) | $ 4,346,509,887 |
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.
