Paul Randelman
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.
Paul Randelman was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1984. Paul had worked at 9 firms and has passed the Series 63, Series 3, Series 5, Series 7, Series 53 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
November 6, 2009 - June 17, 2014
WELLS FARGO SECURITIES, LLC
January 16, 2007 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 19, 2005 - March 16, 2006
WELLS FARGO BROKERAGE SERVICES, L.L.C.
April 19, 2005 - June 17, 2014
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
October 1, 1998 - April 22, 2005
BANC OF AMERICA SECURITIES LLC
March 24, 1995 - October 1, 1998
BANCAMERICA SECURITIES, INC.
January 28, 1992 - March 10, 1995
CREDIT SUISSE SECURITIES (USA) LLC
February 11, 1991 - January 15, 1992
NATWEST MARKETS SECURITIES INC.
October 31, 1988 - January 8, 1991
MORGAN STANLEY MARKET PRODUCTS INC.
September 20, 1988 - January 8, 1991
MORGAN STANLEY & CO. LLC
February 24, 1984 - September 28, 1988
CREDIT SUISSE SECURITIES (USA) 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
Series 5
Date: 7/27/1984
Interest Rate Options ExaminationSeries 8
Date: 11/1/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 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.
