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RS

Richard W. Slocum

CHAFFE SECURITIES
NEW ORLEANS, LA 70170-1410
Some features on this profile are disabled
CRD#: 5258768
RS

Professional summary

Richard Whitfield Slocum is a registered financial professional currently at CHAFFE SECURITIES, INC. located in New Orleans, Louisiana.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2007. Richard has worked at 2 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 79 exams.

Question & Answer

Are you a "fiduciary"?
No

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 Whitfield Slocum'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

January 1, 2012 - Present

CHAFFE SECURITIES, INC.

Office #1: 201 St. Charles Avenue Suite 1410, New Orleans, LA 70170-1410
BD
CRD#: 152172
NEW ORLEANS, LA
Past

June 24, 2008 - October 20, 2008

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
WEEHAWKEN, NJ
Past

October 24, 2007 - October 20, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
Louisiana
(1/1/2012)
RR
Mississippi
(3/6/2026)
RR
North Carolina
(7/11/2025)
RR
Texas
(1/15/2013)

Exams

State Security Law Exam
RR
Series 63
Date: 1/3/2012
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/23/2008
Uniform Combined 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: 11/14/2012
General Securities Representative Examination
General Industry/Product Exam
RR
Series 79
Date: 12/27/2011
Investment Banking Registered Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CHAFFE SECURITIES, INC.
CHAFFE SECURITIES, INC.

CRD#: 152172 / SEC#: , 8-68433

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
PREMIUM
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Contact information

Main Address
201 St. Charles Avenue Suite 1410, New Orleans, LA 70170-1410
Mailing Address
201 St. Charles Avenue Suite 1410, New Orleans, LA 70170-1410
Phone number
(504) 524-1801
Established
Louisiana since 10/13/2009
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (11 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#
CHAFFE & ASSOCIATES, INC.SOLE MEMBER
CLAIBORNE, VANESSA BROWNDIRECTOR/VICE PRESIDENT/CHIEF FINANCIAL OFFICER/FINOP1783779
KOWALSKI, DEIRDRE PATTENCHIEF COMPLIANCE OFFICER1357509
LE BRETON, GLADYS FENNER GAYCHIEF OPERATING OFFICER1783781
SCHMIDT, MICHAEL HUGOPRESIDENT5450650

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

CHAFFE SECURITIES, INC.

CRD#: 152172New Orleans, LA 70170-1410

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