Randolph P. Agnew
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 Pruitt Agnew, who also goes by Randy Agnew, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1992. Randolph had worked at 12 firms and has passed the 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
October 28, 2016 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
October 28, 2016 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
October 28, 2016 - April 13, 2023
CETERA FINANCIAL SPECIALISTS LLC
March 22, 2011 - April 13, 2023
CETERA INVESTMENT SERVICES LLC
March 22, 2011 - April 13, 2023
CETERA WEALTH SERVICES, LLC
January 1, 2004 - April 13, 2023
CETERA ADVISORS LLC
January 1, 2004 - April 13, 2023
CETERA ADVISORS LLC
April 10, 2003 - January 1, 2004
IFG ADVISORY SERVICES INC
April 27, 2000 - January 2, 2004
IFG NETWORK SECURITIES, INC.
March 25, 1997 - April 25, 2000
CNL SECURITIES CORP.
August 3, 1995 - December 20, 1996
BUCKHEAD FINANCIAL CORPORATION
October 19, 1992 - August 8, 1995
WELLS INVESTMENT SECURITIES,INC.
July 23, 1992 - September 22, 1992
KEOGLER, MORGAN & COMPANY, INC.
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
