Randall C. Zisler
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.
Randall Craig Zisler, who also goes by Randall Craig Zisler Phd, Randy Zisler, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1987. Randall had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2020 - October 15, 2021
NTB FINANCIAL CORPORATION
March 21, 2016 - December 31, 2018
BROOKLINE GROUP, LLC
September 22, 2014 - January 27, 2015
WEALTHFORGE SECURITIES, LLC
January 24, 2014 - September 19, 2014
BROOKLINE GROUP, LLC
September 4, 2003 - January 10, 2005
JONES LANG LASALLE SECURITIES, LLC
April 22, 1994 - August 4, 1995
NOMURA SECURITIES INTERNATIONAL, INC.
October 12, 1988 - December 19, 1989
RUSSELL INVESTMENTS IMPLEMENTATION SERVICES, LLC
July 30, 1987 - April 5, 1988
GOLDMAN SACHS & CO. 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
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
