Randy T. Rondberg
Professional summary
Randy Trager Rondberg was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randy is a previously registered financial professional and started their career in finance in 1988. Prior to being barred, Randy had worked at 5 firms, which includes INTERFIRST CAPITAL CORPORATION, SAN CLEMENTE SECURITIES INC., HORNOR TOWNSEND & KENT LLC, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2000 - July 7, 2000
INTERFIRST CAPITAL CORPORATION
September 3, 1999 - April 10, 2000
SAN CLEMENTE SECURITIES, INC.
August 19, 1998 - September 3, 1999
HORNOR, TOWNSEND & KENT, LLC
May 17, 1988 - August 27, 1998
METROPOLITAN LIFE INSURANCE COMPANY
May 17, 1988 - August 27, 1998
MSI FINANCIAL SERVICES, 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
INTERFIRST CAPITAL CORPORATION
CRD#: 7659 / SEC#: , 8-22805
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MHK INVESTMENT CORPORATION | HOLDING COMPANY | |
| PHILLIPS, BRADFORD ASHLEY | CHAIRMAN, PRESIDENT AND CEO | 1730426 |
| ROGERS, KENNETH WALTER | EXECUTIVE VICE PRESIDENT SALES, DIRECTOR | 500255 |
| ROGERS, PAULA ANDREA | FINANCIAL AND OPERATIONS PRINCIPAL | 2167864 |
| TENNEY, LOUIS RUSSELL | SROP | 1032315 |
| TENNEY, LOUIS RUSSELL | MUNICIPAL BOND PRINCIPAL | 1032315 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 13 |
| Bond | 2 |
Red Flags
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