Randy L. Michelsen
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 Lee Michelsen was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1986. Randy had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 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
May 28, 2013 - October 31, 2019
KMS FINANCIAL SERVICES, INC.
May 24, 2013 - October 31, 2019
KMS FINANCIAL SERVICES, INC.
May 4, 2007 - May 22, 2013
LPL FINANCIAL LLC
May 4, 2007 - May 22, 2013
LPL FINANCIAL LLC
October 13, 2006 - May 3, 2007
CETERA INVESTMENT SERVICES LLC
June 19, 1997 - May 3, 2007
CETERA INVESTMENT SERVICES LLC
July 27, 1995 - June 5, 1997
CETERA WEALTH SERVICES, LLC
April 13, 1995 - July 11, 1995
SOLARIS SECURITIES, INC.
March 11, 1994 - June 14, 1995
KEY INVESTMENTS INC.
April 27, 1992 - March 9, 1994
WAMU INVESTMENTS, INC.
February 1, 1991 - April 29, 1992
CAPITAL BROKERAGE CORPORATION
October 1, 1986 - February 4, 1991
PACIFIC FIRST SECURITIES, LTD.
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
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
