Randal W. Fischer
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.
Randal Warren Fischer was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1984. Randal had worked at 11 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 50, Series 3, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2017 - October 12, 2017
MULTI-BANK SECURITIES, INC.
November 18, 2015 - March 3, 2017
MSI FINANCIAL SERVICES, INC.
September 30, 2015 - March 3, 2017
MSI FINANCIAL SERVICES, INC.
October 10, 2012 - October 1, 2015
NYLIFE SECURITIES LLC
November 9, 2011 - July 12, 2012
PNC WEALTH MANAGEMENT LLC
October 28, 2011 - July 12, 2012
PNC WEALTH MANAGEMENT LLC
August 30, 2010 - October 21, 2011
FIFTH THIRD SECURITIES, INC.
July 20, 2010 - October 21, 2011
FIFTH THIRD SECURITIES, INC.
February 28, 2006 - July 13, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
November 18, 2003 - March 10, 2006
AMERIPRISE ADVISOR SERVICES, INC.
January 2, 1998 - December 10, 2003
A. G. EDWARDS & SONS, INC.
October 7, 1994 - January 2, 1998
FIRST OF MICHIGAN CORPORATION
September 9, 1991 - October 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
January 25, 1984 - September 27, 1991
LEHMAN BROTHERS INC.
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
Series 8
Date: 4/21/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
