Randall J. Katzenstein
Professional summary
Randall Jay Katzenstein, who also goes by Randy Katzenstein, is a registered financial professional currently at OBEX SECURITIES LLC located in New Rochelle, New York.
Randall is registered as a RR (Registered Representative) and started their career in finance in 1983. Randall has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randall Jay Katzenstein's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 3, 2002 - Present
OBEX SECURITIES LLC
Office #2: 290 Overlook Road, New Rochelle, NY 10804January 15, 2002 - September 16, 2002
VANGUARD CAPITAL
December 23, 1986 - May 21, 2001
REFCO SECURITIES, LLC
May 10, 1984 - March 20, 1986
LEHMAN BROTHERS INC.
November 23, 1983 - February 22, 1984
CIBC WORLD MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/17/2002)
(9/23/2002)
(10/31/2002)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
OBEX SECURITIES LLC
CRD#: 120002 / SEC#: , 8-65242
Contact information
FINRA licenses (3 States and Territories)
Documents
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.
