Randal J. Wilhelmsen
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 J Wilhelmsen, who also goes by Rand Wilhelmsen, was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1982. Randal had worked at 14 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 8, Series 53 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
August 7, 2009 - May 31, 2013
CETERA INVESTMENT SERVICES LLC
August 7, 2009 - May 31, 2013
CETERA INVESTMENT SERVICES LLC
January 16, 2008 - March 5, 2009
CETERA INVESTMENT SERVICES LLC
January 16, 2008 - March 5, 2009
CETERA INVESTMENT SERVICES LLC
March 2, 2006 - October 29, 2007
FIRST MONTAUK SECURITIES CORP.
March 2, 2006 - October 29, 2007
FIRST MONTAUK SECURITIES CORP.
November 19, 2003 - February 14, 2006
CETERA WEALTH SERVICES, LLC
September 24, 2003 - February 14, 2006
CETERA WEALTH SERVICES, LLC
May 15, 1999 - August 1, 2003
KEYBANC CAPITAL MARKETS INC.
May 14, 1999 - August 1, 2003
KEYBANC CAPITAL MARKETS INC.
December 6, 1995 - May 14, 1999
KEY INVESTMENTS INC.
January 1, 1994 - December 5, 1995
FIRST SECURITY INVESTOR SERVICES, INC.
February 28, 1992 - November 16, 1993
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
January 22, 1990 - April 5, 1990
FIRST CALIFORNIA CAPITAL MARKETS GROUP, INC.
October 13, 1988 - January 5, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 27, 1988 - August 30, 1988
METLIFE INVESTORS DISTRIBUTION COMPANY
November 5, 1986 - June 14, 1988
INTERFIRST CAPITAL CORPORATION
December 5, 1985 - June 13, 1986
FIRST AMERICA EQUITIES CORP.
November 29, 1984 - August 15, 1985
KIDDER, PEABODY & CO. INCORPORATED
November 15, 1982 - November 20, 1984
THOMSON MCKINNON SECURITIES INC.
March 1, 1982 - June 9, 1982
OTC NET INCORPORATED
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 8
Date: 3/8/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
