Randolph J. Haag
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.
Randolph James Haag, who also goes by Randy Haag, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1982. Randolph had worked at 11 firms and has passed the Series 63, SIE, Series 7 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
December 17, 2014 - July 20, 2015
PAULSON INVESTMENT COMPANY LLC
April 22, 2011 - November 20, 2012
SOURCE CAPITAL GROUP, INC.
March 3, 2009 - January 13, 2010
VIANT CAPITAL LLC
September 8, 2006 - December 16, 2008
GENESIS GLOBAL TRADING, INC
September 9, 2005 - September 6, 2006
BRITEHORN SECURITIES
June 15, 2005 - September 6, 2005
SJ CAPITAL, INC.
January 20, 1998 - December 21, 2000
CAPBAY FINANCIAL SERVICES
March 8, 1995 - October 1, 1997
SJ CAPITAL, INC.
June 23, 1993 - May 26, 1995
REGENCY CAPITAL GROUP, INC.
April 11, 1988 - July 10, 1992
LEHMAN BROTHERS INC.
August 4, 1983 - April 11, 1988
E. F. HUTTON & COMPANY INC
December 21, 1982 - June 20, 1983
FINANCIAL PLANNERS EQUITY 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
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 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.
