Randall A. Dionne
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.
Randall A Dionne, who also goes by Randall Allan Dionne, Randy Dionne, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1986. Randall had worked at 10 firms and has passed the Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2014 - August 14, 2014
REGULUS FINANCIAL GROUP, LLC
April 22, 2011 - April 18, 2012
COLORADO FINANCIAL SERVICE CORPORATION
March 17, 2009 - October 29, 2010
QA3 FINANCIAL CORP.
March 28, 2007 - March 16, 2009
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 18, 2004 - March 29, 2007
FIRST FOUNDERS SECURITIES, INC.
October 3, 2002 - June 18, 2004
STONEX SECURITIES INC.
May 6, 2002 - September 23, 2002
CAPWEST SECURITIES, INC.
February 22, 2002 - May 10, 2002
LOCUST STREET SECURITIES, INC.
April 3, 1996 - March 12, 2002
WMA SECURITIES, INC.
May 12, 1986 - April 1, 1996
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
REGULUS FINANCIAL GROUP, LLC
CRD#: 150631 / SEC#: , 8-68275
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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