Randolph L. Hill
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.
Randolph Lee Hill, who also goes by Randolph Hill, Randy L Hill, Randy Hill, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1986. Randolph had worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 87, Series 55, Series 7, Series 27, Series 24, Series 53, Series 4 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
May 22, 2009 - March 30, 2018
DNB MARKETS, INC.
December 5, 2007 - May 14, 2009
COMMERZBANK CAPITAL MARKETS CORP.
August 3, 2005 - January 2, 2008
EHY SECURITIES (USA), LLC
May 3, 2004 - March 24, 2005
MARWOOD GROUP
April 13, 2004 - March 24, 2005
MARWOOD GROUP
October 30, 2002 - March 18, 2004
TRILLIUM BROKERAGE SERVICES, LLC
January 8, 2002 - June 25, 2003
HEARTLAND SECURITIES CORP.
December 11, 2001 - October 23, 2002
BONDGLOBE SECURITIES, LLC
June 2, 2000 - March 22, 2002
EBOND SECURITIES INC.
July 17, 1998 - June 1, 2000
HEARTLAND SECURITIES CORP.
February 3, 1998 - April 27, 1998
FAB SECURITIES OF AMERICA, INC.
October 1, 1997 - February 3, 1998
AMERICAN GENERAL SECURITIES INCORPORATED
June 6, 1996 - October 1, 1997
USLIFE EQUITY SALES CORP.
May 19, 1994 - December 17, 1995
THE WINDMILL GROUP, INC.
April 22, 1992 - June 13, 1992
DIME SECURITIES, INC.
June 29, 1988 - October 12, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
June 29, 1988 - October 12, 1989
EQUITABLE ADVISORS, LLC
December 23, 1986 - May 23, 1990
INVEST FINANCIAL CORPORATION
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 55
Date: 10/2/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 3/9/1987
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
DNB MARKETS, INC.
CRD#: 127605 / SEC#: , 8-66024
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DNB BANK ASA | SHAREHOLDER | |
| ANDERSEN, VIDAR | DIRECTOR | 7772839 |
| BAKKE, HEGE SIMPSON | DIRECTOR | 7772894 |
| BEHNCKE, PETER ANDREAS | DIRECTOR | 6258377 |
| BORY, MELISSA NMN | CHIEF COMPLIANCE OFFICER | 5047640 |
| BREIVIK, THOMAS OLAV OPDAHL | DIRECTOR | 7207266 |
| FELKOWSKI, BRIAN | TREASURER | 5659117 |
| JADICK, THEODORE SPENCER JR | PRESIDENT | 5847469 |
| KIRSCHENBLATT, CHAD | FINOP | 2503352 |
| MARKOWITZ, MICHAEL ERIC | SECRETARY | 7159750 |
| OPSTAD, MORTEN ALEXANDER | DIRECTOR | 6191217 |
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.
