John R. Durig
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.
John Randolph Durig, who also goes by Randy Durig, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2002 - October 6, 2005
FINANCIAL WEST GROUP
June 15, 2001 - December 31, 2021
DURIG CAPITAL, INC.
June 15, 2001 - October 6, 2005
FINANCIAL WEST GROUP
February 1, 1999 - June 18, 2001
SUTRO & CO. INCORPORATED
April 11, 1997 - February 8, 1999
CHARTER INVESTMENT GROUP, INC.
January 15, 1996 - April 9, 1997
SUTRO & CO. INCORPORATED
August 30, 1990 - April 4, 1996
CHARTER INVESTMENT GROUP, INC.
April 2, 1987 - June 5, 1990
PAULSON INVESTMENT COMPANY LLC
January 5, 1987 - April 8, 1987
BLINDER, ROBINSON & CO., INC.
June 5, 1984 - November 1, 1984
WADDELL & REED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
Red Flags
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