Randy P. Lifshotz
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 Paul Lifshotz was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1986. Randy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 25, 2014 - July 31, 2019
LWM ADVISORY SERVICES, LLC
February 6, 2007 - October 28, 2015
LPL FINANCIAL LLC
February 2, 2007 - August 16, 2019
LPL FINANCIAL LLC
February 8, 2000 - February 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
February 7, 2000 - February 5, 2007
WELLS FARGO CLEARING SERVICES, LLC
March 17, 1994 - February 10, 2000
ADVEST, INC.
April 27, 1990 - February 22, 1994
GRUNTAL & CO., L.L.C.
November 21, 1986 - May 16, 1990
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
LWM ADVISORY SERVICES, LLC
CRD#: 172009 / SEC#: 801-80096
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
Series 8
Date: 10/1/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
LWM ADVISORY SERVICES, LLC
CRD#: 172009 / SEC#: 801-80096
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,881 |
| AUM (Assets Under Management) | $ 837,849,209 |
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.
