Randall W. Hess
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Randall Walter Hess, who also goes by Randy Hess, was a registered financial advisor .
Randall is a previously registered financial advisor and started their career in finance in 1981. Randall had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2003 - November 1, 2010
QA3 FINANCIAL LLC
November 6, 2003 - November 1, 2010
QA3 FINANCIAL CORP.
September 12, 2001 - November 3, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
October 4, 2000 - November 3, 2003
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 31, 1993 - October 10, 2000
CITIGROUP GLOBAL MARKETS INC.
May 14, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
November 26, 1984 - May 14, 1988
E. F. HUTTON & COMPANY INC
May 21, 1984 - November 16, 1984
THOMSON MCKINNON SECURITIES INC.
August 26, 1982 - May 18, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 18, 1982 - January 16, 1985
PRUCO SECURITIES, LLC.
October 15, 1981 - January 16, 1985
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current firm
No current employment
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.
