Randal J. Ortleb
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.
Randal James Ortleb was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1981. Randal had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 14A, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 28, 2015 - August 21, 2017
QUEST CAPITAL STRATEGIES, INC.
July 13, 2012 - January 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2005 - December 22, 2011
BANC OF AMERICA SPECIALIST, INC.
August 30, 2004 - January 26, 2005
E*TRADE CLEARING LLC
March 2, 2001 - February 12, 2003
APEX CLEARING CORPORATION
August 7, 2000 - April 10, 2001
QUICK & REILLY, INC.
February 12, 1999 - November 14, 2000
FIS SECURITIES, INC.
February 5, 1999 - August 7, 2000
FLEET ENTERPRISES, INC.
October 6, 1992 - April 8, 1998
FLEET BROKERAGE SECURITIES, INC.
November 6, 1990 - October 8, 1992
CHARLES SCHWAB & CO., INC.
March 6, 1989 - January 23, 1991
FLEET CLEARING CORPORATION
November 9, 1981 - October 31, 1990
FLEET BROKERAGE SECURITIES, INC.
August 19, 1981 - April 8, 1982
UBS FINANCIAL SERVICES INC.
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
Series 14A
Date: 5/31/2006
Compliance Official Specialist ExamSeries 12
Date: 8/29/1983
NYSE Branch Manager ExaminationCurrent Firm
QUEST CAPITAL STRATEGIES, INC.
CRD#: 16783 / SEC#: 801-77927, 8-34532
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
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