James P. Randazzo
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.
James Phillip Randazzo was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 10 firms and has passed the Series 63, Series 3, Series 7, Series 8 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
July 10, 1995 - August 27, 1996
FBD INVESTMENT SERVICES, INC.
September 23, 1994 - June 21, 1995
GEORGE K. BAUM & COMPANY
April 24, 1992 - September 26, 1994
DAIN RAUSCHER INCORPORATED
July 14, 1988 - May 4, 1992
GENERAL SECURITIES CORP
February 27, 1987 - July 29, 1988
B.C. CHRISTOPHER SECURITIES CO.
November 18, 1986 - March 16, 1987
MORGAN STANLEY DW INC.
August 27, 1985 - December 1, 1986
THOMSON MCKINNON SECURITIES INC.
November 16, 1983 - October 7, 1985
KIDDER, PEABODY & CO. INCORPORATED
June 16, 1982 - December 27, 1983
E. F. HUTTON & COMPANY INC
February 10, 1982 - June 8, 1982
CITIGROUP GLOBAL MARKETS 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: 6/27/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FBD INVESTMENT SERVICES, INC.
CRD#: 35592 / SEC#: , 8-46757
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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