Randall K. Schwier
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 K Schwier, who also goes by R K Schwier, Randy Schwier, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1981. Randall had worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1999 - September 30, 2005
SUNAMERICA SECURITIES, INC.
March 10, 1998 - October 29, 1999
RICHARD B. VANCE & COMPANY
May 4, 1995 - February 6, 1998
ROBERT W. BAIRD & CO. INCORPORATED
November 29, 1990 - April 17, 1995
RAFFENSPERGER, HUGHES & CO., INC.
February 15, 1988 - December 20, 1990
LEHMAN BROTHERS INC.
January 9, 1984 - February 15, 1988
E. F. HUTTON & COMPANY INC
December 24, 1981 - February 15, 1984
THOMSON MCKINNON 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
Series 8
Date: 5/31/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
SUNAMERICA SECURITIES, INC.
CRD#: 20068 / SEC#: , 8-38083
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP | 100% SHAREHOLDER OF SUNAMERICA SECURITIES, INC. | |
| BOURDAMIS, SALLY HANSON | VICE PRESIDENT, BROKERAGE SERVICES | 1812157 |
| CANNON, JAMES RICHARD | PRESIDENT, CEO, DIRECTOR | 1755987 |
| CAPRIOTTI, JACQUELYN MARIE | VICE PRESIDENT, VISION 2020 | 1575021 |
| CAVANAUGH, MARY LOUISE | DIRECTOR | 1977110 |
| DENBY, SUSANNE MARIE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| DORFMAN, KENNETH PAUL | CROP | 2460380 |
| FIELDS, INGER WILSON | FINOP | 1690043 |
| FREEMAN, BRUCE TODD | ASSOCIATE VICE PRESIDENT, MUNICIPAL PRINCIPAL | 2451499 |
| GAUGHAN, BRIDGET MARY | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL, SECRETARY | 2691949 |
| GAUGHAN, BRIDGET MARY | DIRECTOR | 2691949 |
| KUBICA, LISA SUE | EXECUTIVE VICE PRESIDENT, COO, SROP, MP | 1098488 |
| MCREYNOLDS, MICHAEL RONALD | ASSISTANT VICE PRESIDENT, INSURANCE | 816602 |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT, INSURANCE | 2587496 |
| RADFORD, CHRISTOPHER BLAKE | SENIOR VICE PRESIDENT, NATIONAL SALES | 1564302 |
| ROTHSTEIN, STEVEN ELLIOT | EXECUTIVE VICE PRESIDENT, CFO, TREASURER | 1292456 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR | 1292456 |
| SONCHIK, RITA LYNN | VICE PRESIDENT, ACCOUNTING | 1865389 |
| STAUFFER, RALPH OWEN JR | VICE PRESIDENT INFORMATION TECHNOLOGY | 3255670 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 16 |
| Bond | 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.
