Randall E. Fath
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 Edward Fath, who also goes by Randy Fath, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1982. Randall had worked at 9 firms and has passed the Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2015 - October 23, 2017
AMERITAS INVESTMENT COMPANY, LLC
July 6, 2015 - October 23, 2017
AMERITAS INVESTMENT COMPANY, LLC
July 19, 2013 - July 9, 2015
ONEAMERICA SECURITIES, INC.
July 19, 2013 - July 8, 2015
ONEAMERICA SECURITIES, INC.
January 1, 2000 - July 26, 2013
OSAIC FA, INC.
January 4, 1996 - May 3, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
January 4, 1996 - July 25, 2013
OSAIC FA, INC.
March 23, 1990 - January 4, 1996
OPPENHEIMER & CO. INC.
December 22, 1988 - March 23, 1990
B.C. CHRISTOPHER SECURITIES CO.
May 14, 1987 - December 7, 1988
VESTAX SECURITIES CORPORATION
June 29, 1982 - May 20, 1987
MML INVESTORS SERVICES, LLC
April 30, 1982 - May 27, 1987
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
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
AMERITAS INVESTMENT COMPANY, LLC
CRD#: 14869 / SEC#: 801-undefined, 8-31296
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITAS LIFE INSURANCE CORP. | BENEFICIAL OWNER | |
| BEASLEY, RYAN CHARLES | MEMBER BOARD OF DIRECTORS | 2943009 |
| BERTHOLD, RICHARD AARON | VICE PRESIDENT, OPERATIONS | 4433172 |
| BIEL, ROLLIN LYNN | FINANCIAL AND OPERATIONS PRINCIPAL | 5101711 |
| HALVERSON, KELLY JAY | MEMBER BOARD OF DIRECTORS | 7977580 |
| KINSELLA, MATTHEW JOHN | CHIEF COMPLIANCE OFFICER | 5217108 |
| KORTE, BRENT FRAZIER | MEMBER BOARD OF DIRECTORS | 4808103 |
| ROBSON, JEREMY MICHAEL | PRESIDENT AND MEMBER BOARD OF DIRECTORS | 4147931 |
| SCHUBAUER, TYLER JOSEPH | CORPORATE SECRETARY | 6392775 |
| SHERFFIUS, MARIA ELIZABETH | SECOND VICE PRESIDENT - COMPLIANCE OFFICER | 2726500 |
| WU, MICHELE XIAOMING | MEMBER BOARD OF DIRECTORS | 7863936 |
Disclosures
| Regulatory Event | 21 |
| Arbitration | 2 |
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.
