Fredrick M. Randhahn
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.
Fredrick Martin Randhahn, who also goes by Fred Randhahn, Frederick Martin Randhahn, was a registered financial professional .
Fredrick is a previously registered financial professional and started their career in finance in 1985. Fredrick had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 13, 2012 - August 24, 2018
SPC
January 13, 2012 - August 24, 2018
SIGMA FINANCIAL CORPORATION
October 5, 2009 - January 24, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - January 24, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
March 18, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 13, 2009 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
March 17, 1999 - March 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1996 - March 16, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 20, 1995 - February 7, 1996
FIS SECURITIES, INC.
December 24, 1987 - December 2, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
September 10, 1985 - February 10, 1988
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
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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