Randy J. Petsoff
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.
Randy Jordan Petsoff was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1985. Randy had worked at 14 firms and has passed the Series 63, SIE 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 7, 2017 - May 17, 2018
THE WILLIAMS CAPITAL GROUP, L.P.
March 27, 2013 - September 21, 2016
PNC CAPITAL MARKETS LLC
May 9, 2012 - March 8, 2013
NATALLIANCE SECURITIES, LLC
April 25, 2011 - January 3, 2012
KEEFE, BRUYETTE & WOODS, INC.
January 15, 2010 - March 29, 2011
COHEN & COMPANY SECURITIES, LLC
April 27, 2009 - January 15, 2010
MORGAN JOSEPH TRIARTISAN LLC
May 5, 2008 - February 13, 2009
CANTOR FITZGERALD & CO.
February 2, 1999 - February 8, 2008
COUNTRYWIDE SECURITIES CORPORATION
May 23, 1997 - December 2, 1998
NATWEST MARKETS SECURITIES INC.
February 18, 1997 - May 16, 1997
LEGG MASON WOOD WALKER, INCORPORATED
May 9, 1995 - November 15, 1996
TUCKER ANTHONY INCORPORATED
August 2, 1993 - May 9, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
January 31, 1991 - August 9, 1993
TUCKER ANTHONY INCORPORATED
August 28, 1987 - November 4, 1989
DB ALEX. BROWN LLC
February 21, 1985 - May 1, 1987
CITICORP SECURITIES, INC.
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
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
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.
