Randy A. Snell
Professional summary
Randy Allen Snell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randy is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, Randy had worked at 5 firms, which includes CITICORP INVESTMENT SERVICES, BRODIS SECURITIES INCORPORATED, VANTAGE SECURITIES OF COLORADO INC., FITTIN CUNNINGHAM & LAUZON INC., FIRST JERSEY SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 1987 - September 27, 1987
CITICORP INVESTMENT SERVICES
May 15, 1985 - July 10, 1985
BRODIS SECURITIES INCORPORATED
April 27, 1983 - December 6, 1984
VANTAGE SECURITIES OF COLORADO, INC.
November 25, 1981 - April 18, 1983
FITTIN, CUNNINGHAM & LAUZON, INC.
November 9, 1981 - November 16, 1981
FIRST JERSEY SECURITIES, 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
Current Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
Red Flags
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