Randall J. Stein
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 Jay Stein was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1981. Randall had worked at 2 firms and has passed the Series 63, Series 62, Series 3 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2003 - May 6, 2005
AVIOR CAPITAL, LLC
December 11, 1981 - November 17, 1982
ROWLAND SECURITIES CORPORATION
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 62
Date: 7/12/2003
Corporate Securities Limited Representative ExaminationCurrent Firm
AVIOR CAPITAL, LLC
CRD#: 44732 / SEC#: , 8-50809
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Civil Event | 1 |
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.
