Randy J. Hartten
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 James Hartten was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1986. Randy had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2022 - July 8, 2022
PFM FUND DISTRIBUTORS, INC.
July 15, 2016 - July 8, 2022
U.S. BANCORP INVESTMENTS, INC.
February 12, 2015 - April 5, 2016
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 12, 2015 - April 5, 2016
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 3, 2013 - April 5, 2016
PRUCO SECURITIES, LLC.
September 4, 2012 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
May 31, 2007 - December 8, 2010
FIRST ALLIED SECURITIES, INC.
September 15, 2004 - May 31, 2007
CLARK SECURITIES, INC.
January 12, 1999 - July 2, 2003
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
May 1, 1996 - July 2, 2003
IDS LIFE INSURANCE COMPANY
May 1, 1996 - July 2, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
August 1, 1995 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
October 3, 1986 - September 13, 1996
VOYA FINANCIAL ADVISORS, 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
PFM FUND DISTRIBUTORS, INC.
CRD#: 114474 / SEC#: , 8-53496
Contact information
Documents
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.
