Randall D. Waterman
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 David Waterman was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1985. Randall had worked at 5 firms and has passed the 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
September 1, 2004 - September 24, 2012
ROSENTHAL GLOBAL SECURITIES LLC
December 16, 1991 - August 4, 2004
BANC ONE CAPITAL MARKETS, INC.
January 29, 1990 - October 1, 1991
CONTINENTAL GLOBAL FINANCIAL CORPORATION
April 11, 1988 - September 7, 1989
FIRST OPTIONS OF CHICAGO, INC.
May 22, 1985 - May 3, 1988
INVESCO CAPITAL MARKETS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ROSENTHAL GLOBAL SECURITIES LLC
CRD#: 19721 / SEC#: , 8-38021
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
