Richard L. Rackers

HALEY SECURITIES

Omaha, NE 68114

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CRD#: 4437117

Professional summary

Richard Lee Rackers is a registered financial professional currently at HALEY SECURITIES, INC. located in Omaha, Nebraska.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 3 firms and has passed the Series 65, Series 66, SIE, Series 7 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Lee Rackers'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

August 1, 2006 - Present

HALEY SECURITIES, INC.

Office #1: 8712 West Dodge Road Ste. 402, Omaha, NE 68114

CRD#: 104124

Omaha, NE

Past

January 12, 2004 - March 20, 2006

SECURIAN FINANCIAL SERVICES, INC.

RIA

CRD#: 15296

ST PETERS, MO

Past

October 20, 2003 - March 20, 2006

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

August 14, 2001 - August 19, 2003

VESTAX SECURITIES CORPORATION

CRD#: 10332

HUDSON, OH

State Registrations and Notice Filings

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

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

Arkansas
(1/22/2025)

California
(7/7/2021)

Kansas
(11/12/2018)

Missouri
(8/2/2006)

Texas
(8/11/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 1/10/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/26/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 39

Date: 3/31/2009

Direct Participation Programs Principal Examination

SRO Registrations

FINRA

Current Firm

HALEY SECURITIES, INC.

HALEY LEISMAN SECURITIES, INC. | HALEY SECURITIES, INC.

CRD#: 104124 / SEC#: , 8-52622

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

8712 West Dodge Road Ste. 402, Omaha, NE 68114

Mailing Address

8712 West Dodge Road Ste. 402, Omaha, NE 68114

Phone number

(402) 397-0780

Established

Nebraska since 04/25/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (41 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
COHOON, CHRISTINE ANGELA	PRESIDENT, FINOP, CHIEF FINANCIAL OFFICER	5279757
OVERLY, BRIAN JOSEPH	CHIEF COMPLIANCE OFFICER, SECRETARY	5264831
SHIRLEY H. OVERLY REVOCABLE TRUST	TRUST
BROWN, SHIRLEY OVERLY	TRUSTEE OF THE SHIRLEY H. OVERLY REVOCABLE TRUST	4391859
BROWN, SHIRLEY OVERLY	DIRECTOR	4391859

Disclosures

Regulatory Event

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.

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Richard L. Rackers

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Lee Rackers's CRS (Customer Relationship Summary).

Certified licenses

Experience

SECURIAN FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

VESTAX SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 1/10/2004

Series 66

Date: 9/26/2001

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2001

Series 39

Date: 3/31/2009

FINRA

Current Firm

HALEY SECURITIES, INC.

Contact information

FINRA licenses (41 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HALEY SECURITIES, INC.

TRUST BUT VERIFY

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