Randall L. Pope
Professional summary
Randall Lane Pope was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randall is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Randall had worked at 8 firms, which includes CAPWEST SECURITIES INC., UNITED SECURITIES ALLIANCE INC., BURCH & COMPANY INC, WOODBURY FINANCIAL SERVICES INC., OSAIC FS INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, LINCOLN NATIONAL PENSION INSURANCE COMPANY, BENEFIT SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2008 - October 6, 2009
CAPWEST SECURITIES, INC.
September 21, 2005 - December 31, 2007
CAPWEST SECURITIES, INC.
March 9, 2004 - October 11, 2005
UNITED SECURITIES ALLIANCE, INC.
September 12, 2003 - February 2, 2004
BURCH & COMPANY, INC
March 10, 2000 - October 15, 2002
WOODBURY FINANCIAL SERVICES, INC.
July 23, 1998 - February 3, 2000
OSAIC FS, INC.
January 17, 1995 - August 3, 1998
WOODBURY FINANCIAL SERVICES, INC.
April 1, 1992 - December 31, 1994
WOODBURY FINANCIAL SERVICES, INC.
January 3, 1989 - March 9, 1990
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 5, 1986 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
April 25, 1986 - March 16, 1992
BENEFIT 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
CAPWEST SECURITIES, INC.
CRD#: 30002 / SEC#: , 8-44462
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE FINANCIAL GROUP, INC. | OWNER | |
| HALL, DALE KEITH | CEO, PRESIDENT, TREASURER, CFO, CCO, COO, DIRECTOR, | 706704 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 9 |
Red Flags
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