Randolph F. Zimmer
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.
Randolph Friedrich Zimmer, who also goes by Randolph Fredrich Zimmer, Randolph Fredrick Zimmer, Randy Zimmer, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1984. Randolph had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2006 - July 25, 2014
NEW CENTURY FINANCIAL GROUP, LLC
September 21, 2006 - December 1, 2017
OSAIC WEALTH, INC.
January 13, 2003 - September 18, 2006
NEXT FINANCIAL GROUP, INC.
January 13, 2003 - September 18, 2006
NEXT FINANCIAL GROUP, INC.
July 18, 2002 - January 15, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 20, 2001 - January 15, 2003
PRUDENTIAL EQUITY GROUP, LLC
November 11, 1991 - April 23, 2001
MORGAN STANLEY DW INC.
May 14, 1988 - December 4, 1991
LEHMAN BROTHERS INC.
March 26, 1986 - May 14, 1988
E. F. HUTTON & COMPANY INC
March 27, 1984 - April 7, 1986
PRUDENTIAL EQUITY GROUP, 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
NEW CENTURY FINANCIAL GROUP, LLC
CRD#: 104553 / SEC#: 801-51232
Contact information
Regulatory assets under management
| Total Number of Accounts | 894 |
| AUM (Assets Under Management) | $ 192,850,635 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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