Christopher D. Randall
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.
Christopher Douglas Randall, who also goes by Chris Randall, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1987. Christopher had worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 6, Series 4, Series 27, Series 53 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
August 30, 2011 - October 7, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
May 1, 1995 - June 9, 2021
M&T SECURITIES, INC.
June 3, 1991 - May 1, 1995
IFMG SECURITIES, INC.
December 17, 1990 - July 2, 1991
MONY SECURITIES CORPORATION
April 26, 1989 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
April 26, 1989 - November 29, 1990
MONY SECURITIES CORPORATION
January 12, 1987 - April 14, 1988
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WILMINGTON BROKERAGE SERVICES COMPANY
CRD#: 14942 / SEC#: , 8-31441
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
Red Flags
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