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RICHARD JAMES LONDON
RICHARD JAMES LONDON MR.
CRD#: 5134558
IA
B
LASALLE ST. INVESTMENT ADVISORS, L.L.C.CRD#: 109701 6145 S. Rainbow Blvd
Ste 105
Las Vegas, NV 89118
Ste 105
Las Vegas, NV 89118
LASALLE ST SECURITIES, L.L.C.CRD#: 7191 6145 S. Rainbow Blvd
Ste 105
Las Vegas, NV 89118
Ste 105
Las Vegas, NV 89118
0
Disclosures
18
Years of Experience
View By:
State Registrations
B
Arizona 4/21/2023
IA
Nevada 4/28/2023
IA
Arizona 5/10/2023
B
Nevada 5/9/2023
IA
Arkansas 11/27/2024
IA
New York 6/7/2023
B
California 4/21/2023
B
North Carolina 5/11/2023
B
Colorado 4/21/2023
IA
North Carolina 6/1/2023
B
Connecticut 4/21/2023
B
Ohio 4/21/2023
IA
Connecticut 6/1/2023
IA
Oregon 6/7/2023
B
Florida 4/21/2023
B
South Carolina 4/21/2023
B
Idaho 4/21/2023
B
Texas 4/21/2023
IA
Illinois 6/7/2023
IA
Texas 4/25/2023
B
Iowa 4/25/2023
B
Utah 4/21/2023
B
Kansas 4/21/2023
IA
Utah 6/6/2023
IA
Kansas 6/1/2023
B
Virginia 4/21/2023
B
Montana 4/21/2023
IA
Virginia 1/10/2024
SRO Registrations
B
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IA
Registered with this firm since 4/25/2023
B
Registered with this firm since 4/21/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/05/2020 - 05/09/2023 | LAS VEGAS, NV | |
B | 09/25/2014 - 05/09/2023 | LAS VEGAS, NV | |
IA | 10/03/2014 - 02/25/2020 | Las Vegas, NV | |
IA | 05/16/2013 - 10/17/2014 | LAS VEGAS, NV | |
B | 05/16/2013 - 10/17/2014 | LAS VEGAS, NV | |
IA | 01/11/2008 - 05/16/2013 | LAS VEGAS, NV | |
B | 09/04/2007 - 05/16/2013 | LAS VEGAS, NV | |
IA | 09/06/2006 - 09/05/2007 | LAS VEGAS, NV | |
B | 07/03/2006 - 09/05/2007 | LAS VEGAS, NV |
For additional information about investment advisers or broker-dealers, please visit
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.