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GL

Garrick L. Lassek

TRADESTATION SECURITIES
Plantation, FL 33324
Some features on this profile are disabled
CRD#: 5378828
GL

Professional summary

Garrick Leonard Lassek, who also goes by Garrick L Lassek, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Plantation, Florida.

Garrick is registered as a RR (Registered Representative) and started their career in finance in 2008. Garrick has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, Series 57TO, Series 3, SIE, Series 7, Series 53, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Garrick L Lassek

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 Garrick Leonard Lassek'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

June 21, 2018 - Present

TRADESTATION SECURITIES, INC.

Office #1: 8050 Sw 10th Street Suite 2000, Plantation, FL 33324
BD
CRD#: 39473
Plantation, FL
Past

March 7, 2016 - June 14, 2018

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

October 23, 2015 - June 14, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

August 26, 2014 - October 31, 2015

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHARLOTTE, NC
Past

August 30, 2013 - August 7, 2014

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

March 12, 2008 - August 23, 2013

ALLY INVEST SECURITIES LLC

BD
CRD#: 136131
CHARLOTTE, NC

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
Florida
(6/21/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/4/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/31/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 7/18/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 11/21/2022
Securities Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 6/6/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/17/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/27/2010
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/24/2009
Registered Options Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TRADESTATION SECURITIES, INC.
ONLINE TRADING INC.COM | TRADESTATION SECURITIES, INC. | TRADESTATION SECURITIES | TRADESTATION | ONLINETRADNG.COM | ONLINETRADINGINC.COM CORP | ONLINETRADING.COM | ONLINETRADEINGINC.COM CORP. | ONLINE TRADING, INC.

CRD#: 39473 / SEC#: , 8-48711

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

Main Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Mailing Address
8050 Sw 10th Street Suite 2000, Plantation, FL 33324
Phone number
(954) 652-7900
Established
Florida since 09/07/1995
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (52 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#
TRADESTATION GROUP, INC.OWNER - PARENT CORPORATION
BOLEK, JOHN MITCHELLPRINCIPAL OPERATIONS OFFICER2363046
KOROTKIY, PETERPRESIDENT & CHIEF OPERATING OFFICER2706102
MORMILE-WOLPER, MYRA CHRISTINEGENERAL COUNSEL AND ASSISTANT SECRETARY6753154
ROJEK, JAMES HCHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER3096214
WALTON, HERBERTCHIEF COMPLIANCE OFFICER4030847

Disclosures

Regulatory Event28
Arbitration4

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

TRADESTATION SECURITIES, INC.

CRD#: 39473Plantation, FL 33324

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