Randy J. Derouin
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.
Randy James Derouin, who also goes by Randy James Derovin, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1990. Randy had worked at 6 firms and has passed the Series 63, 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 19, 2001 - February 26, 2002
WINDSOR STREET CAPITAL, LP
June 23, 1997 - October 19, 2001
FAS WEALTH MANAGEMENT SERVICES, INC.
April 10, 1997 - June 17, 1997
SFI INVESTMENTS, INC.
April 20, 1992 - September 23, 1996
NOBLE CAPITAL MARKETS, INC.
October 12, 1990 - April 27, 1992
BILTMORE SECURITIES, INC.
June 20, 1990 - October 15, 1990
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
