Randy D. Lierman
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.
Randy Dean Lierman was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1982. Randy had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 27, 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
October 22, 2013 - October 6, 2015
ALPS DISTRIBUTORS, INC.
July 3, 2013 - October 4, 2013
MATRIX CAPITAL GROUP, INC.
February 14, 2005 - August 2, 2011
BNY MELLON SECURITIES CORPORATION
February 14, 2005 - August 2, 2011
BNY MELLON SECURITIES CORPORATION
November 10, 2003 - January 5, 2004
ALPS DISTRIBUTORS, INC.
October 9, 2002 - September 11, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
October 8, 2002 - September 11, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
May 22, 2002 - September 3, 2002
BNY MELLON SECURITIES CORPORATION
October 10, 1996 - September 3, 2002
BNY MELLON SECURITIES CORPORATION
March 6, 1992 - October 15, 1996
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
January 28, 1989 - March 13, 1992
WALNUT STREET SECURITIES, INC.
October 8, 1985 - December 5, 1988
O. R. SECURITIES, INC.
April 16, 1985 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
July 14, 1983 - November 23, 1984
R. ROWLAND & CO., INCORPORATED
April 19, 1983 - May 19, 1983
FIRST JERSEY SECURITIES, INC.
May 19, 1982 - November 30, 1982
FORESTERS FINANCIAL SERVICES, 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
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
