Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Shaffer is a financial advisor registered with Lasalle St Securities, LLC. Rick Shaffer has been in the financial industry since 1994. Rick Shaffer holds the Series 63, Series 7, Series 62 and the SIE. Rick Shaffer is registered in Ohio and Pennsylvania. Rick Shaffer's previous employment includes Gunnallen Financial, Inc, MPI Financial and Corna Securities, Inc.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
OH
05/21/2002 - Present
Lasalle ST Securities, LLC (COLUMBUS OH)
FL
05/02/2000 - 06/19/2002
GUNNALLEN FINANCIAL, INC (TAMPA FL)
OH
05/10/1999 - 05/02/2000
MPI FINANCIAL (COLUMBUS OH)
OH
05/06/1994 - 04/20/1999
CORNA SECURITIES, INC. (COLUMBUS OH)
BC
Issued 01/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/15/1994
Series 7 - General Securities Representative Examination
BC
Issued 05/02/1994
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
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