Randolph S. Nathanson
Professional summary
Randolph Seth Nathanson, who also goes by Randy Nathanson, is a registered financial professional currently at PURSHE KAPLAN STERLING INVESTMENTS located in Southington, Connecticut.
Randolph is registered as a RR (Registered Representative) and started their career in finance in 1989. Randolph has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randolph Seth Nathanson's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2010 - Present
PURSHE KAPLAN STERLING INVESTMENTS
January 7, 2008 - December 31, 2009
PRINCIPAL SECURITIES, INC.
April 5, 1999 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
April 5, 1999 - January 7, 2008
MSI FINANCIAL SERVICES, INC.
February 14, 1989 - May 24, 1999
ROBERT W. BAIRD & CO. INCORPORATED
February 14, 1989 - June 9, 1999
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
(12/14/2010)
(1/6/2010)
(1/14/2010)
(1/11/2022)
(10/19/2011)
(1/4/2010)
(1/4/2010)
(2/27/2017)
(1/12/2022)
(3/1/2017)
(1/12/2022)
Exams
Series 12
Date: 5/14/1997
NYSE Branch Manager ExaminationFINRA
Current Firm
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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