Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
BENJAMIN JOHN RICKEY
BEN RICKEY
CRD#: 2889615
IA
Investment Adviser
B
Previous Broker
LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C.CRD#: 116891 3908 CREEKSIDE LOOP, STE 100
YAKIMA, WA 98902
Registration History
199820002002200420062008201020122014201620182020202220242026IALEONARD RICKEY INVESTMENT ADVI... (CRD# 116891)1998 - Present (27 years)BLPL FINANCIAL LLC (CRD# 6413)1999 - 2016 (17 years)BMML INVESTORS SERVICES, INC. (CRD# 10409)1997 - 1999 (1 year)IALPL FINANCIAL LLC (CRD# 6413)1999 - 2013 (14 years)
Disclosure(s)
View By:
1/14/2010
Customer Dispute
Denied
License(s)

State Registrations

IA
Texas 4/9/2013
IA
Washington 1/22/1998
Current Registration(s)
IA
LEONARD RICKEY INVESTMENT ADVISORS, P.L.L.C. (CRD#:116891)
3908 CREEKSIDE LOOP, STE 100, YAKIMA, WA 98902
Registered with this firm since 1/22/1998
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 01/05/1999 - 04/18/2016 LPL FINANCIAL LLC (CRD#:6413) YAKIMA, WA
IA
 01/13/1999 - 05/02/2013 LPL FINANCIAL LLC (CRD#:6413) YAKIMA, WA
B
 05/14/1997 - 01/08/1999 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.