Randy A. Fox
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 Alan Fox, CFP® was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1984. Randy had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 51 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
Start date: 1988
Experience
February 10, 2012 - December 1, 2014
ALLSTATE FINANCIAL SERVICES, LLC
November 16, 1998 - December 15, 2011
WEALTH STRATEGIES COUNSELORS, INC
January 24, 1997 - December 31, 2006
FSC SECURITIES CORPORATION
January 5, 1996 - January 28, 1997
MONY SECURITIES CORPORATION
July 31, 1986 - December 31, 1995
KEOGLER, MORGAN & COMPANY, INC.
March 27, 1986 - August 11, 1986
INVESTACORP, INC.
January 8, 1986 - February 22, 1986
MESIROW INVESTMENT SERVICES, INC.
July 30, 1984 - January 1, 1986
INVESTACORP, INC.
May 22, 1984 - August 13, 1984
PALADIN MARKET ADVISORS, LLC
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
ALLSTATE FINANCIAL SERVICES, LLC
CRD#: 18272 / SEC#: , 8-36365
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLSTATE INSURANCE COMPANY | OWNER | |
| BOUDREAU, JOHN DOUGLAS | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE | 6357880 |
| DELANEY, SCOTT SULLIVAN | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 2978681 |
| LANSPA, PAUL DONALD | CHIEF OPERATING OFFICER | 6449159 |
| MUELLER, DAVID JOHN | GENERAL COUNSEL AND SECRETARY | 7807045 |
| NELSON, MARY KRIS | CHAIRMAN OF THE BOARD | 2464654 |
| SWEENEY, MICHAEL DANIEL | AML OFFICER | 2026113 |
| WHITCOMB, MICHAEL JAMES | FINOP | 7495756 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 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.
