Richard J. Buswell
Professional summary
Richard Joseph Buswell was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial advisor and started their career in finance in 2004. Prior to being barred, Richard had worked at 5 firms, which includes LASALLE ST SECURITIES L.L.C., BROOKSTONE SECURITIES INC., 1ST DISCOUNT BROKERAGE INC., LPL FINANCIAL LLC, W&S BROKERAGE SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2009 - May 15, 2009
LASALLE ST SECURITIES, L.L.C.
June 24, 2008 - April 3, 2009
BROOKSTONE SECURITIES, INC.
April 16, 2008 - April 3, 2009
BROOKSTONE SECURITIES, INC.
July 6, 2006 - April 16, 2008
1ST DISCOUNT BROKERAGE, INC.
November 2, 2005 - June 29, 2006
LPL FINANCIAL LLC
September 30, 2005 - June 29, 2006
LPL FINANCIAL LLC
June 7, 2004 - October 27, 2005
W&S BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
LASALLE ST SECURITIES, L.L.C.
CRD#: 7191 / SEC#: , 8-18860
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 15 |
| Arbitration | 4 |
| Bond | 1 |
Red Flags
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