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Current Employers
Leonard Rickey Investment Advisors, P.L.L.C.

3908 Creekside Loop Suite 100, Yakima, WA 98902 • United States

Current Registrations

AuthorityCategoryStatusDate
WA RA APPROVED 2015-01-13
  • WA RA
    APPROVED
    Since 2015-01-13

Branch Locations

3908 Creekside Loop Suite 100, Yakima, WA 98902 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Yakima WA 01/2005 Present
Leonard Rickey Investment Advisors, P.L.L.C. Yakima WA 05/2000 Present
Previous Registrations
Other Businesses

(1) 11/24/2004: LEONARD RICKEY INVESTMENT ADVISORS, PLLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL (2) 08/09/2013: NO BUSINESS NAME - NOT INV REL - NOTARY - 1% OF TIME SPENT - NOTARIZE DOCUMENTS FOR CLIENTS (3) 03/03/2015: LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. - INV REL - 3908 CREEKSIDE LOOP STE 100 YAKIMA, WA 98902 - REGISTERED INVESTMENT ADVISOR HYBRID - START 01/13/2015 - 160 HR/MO 100 DURING SECS TRDG HRS

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-03-24
  • S66 Uniform Combined State Law Examination
    2005-03-24
Other Names
  • Susan M Chism
  • Susan M Chisim
  • Susan M Chism
  • Susan M Van Tress

View on SEC IAPD

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