Randal S. Lentz
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.
Randal Scot Lentz, who also goes by Randal Scott Lentz, Randal Lentz, Randall Scott Lentz, Randy Scot Lentz, Randy Scott Lentz, Randy Lentz, was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1986. Randal had worked at 5 firms and has passed the Series 63 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
June 15, 1998 - March 31, 2010
GUNNALLEN FINANCIAL, INC
May 20, 1998 - June 11, 1998
GUNNALLEN FINANCIAL, INC
February 15, 1991 - June 24, 1998
UBS FINANCIAL SERVICES INC.
November 27, 1990 - February 27, 1991
CHATFIELD DEAN & CO., INC.
February 28, 1986 - December 4, 1990
THE STUART-JAMES COMPANY, INCORPORATED
February 19, 1986 - March 11, 1986
FSC SECURITIES CORPORATION
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
GUNNALLEN FINANCIAL, INC
CRD#: 17609 / SEC#: , 8-35508
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Arbitration | 13 |
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.
