Maurice R. Strickland
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.
Maurice Randall Strickland, who also goes by M Randall Strickland, Maurice Strickland, Randy Strickland, was a registered financial professional .
Maurice is a previously registered financial professional and started their career in finance in 1988. Maurice had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2014 - October 28, 2016
SENTINEL FINANCIAL SERVICES COMPANY
September 13, 2012 - July 15, 2014
LPL FINANCIAL LLC
June 2, 2006 - April 5, 2011
PRINCIPAL SECURITIES, INC.
April 3, 2003 - September 10, 2004
AMERICAN CENTURY INVESTMENT SERVICES INC.
January 28, 2003 - March 17, 2003
RCM DISTRIBUTORS LLC
November 26, 2001 - January 21, 2003
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
September 16, 1996 - November 20, 2000
SCHRODER FUND ADVISORS LLC
July 7, 1994 - August 9, 1996
ENDOWMENT ADVISERS, INC.
January 22, 1988 - June 21, 1994
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
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
SENTINEL FINANCIAL SERVICES COMPANY
CRD#: 31175 / SEC#: , 8-45393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SENTINEL ASSET MANAGEMENT INC. | GENERAL PARTNER | |
| SENTINEL ADMINISTRATIVE SERVICES, INC | GENERAL PARTNER | |
| TEESE, GREGORY DWIGHT | VICE PRESIDENT, COMPLIANCE & CHIEF COMPLIANCE OFFICER | 2135269 |
Disclosures
| Regulatory Event | 1 |
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.
