Randy S. Fuss
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 Stuart Fuss, CFP® was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1990. Randy had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 53 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 5, 2011 - March 30, 2023
CUNA BROKERAGE SERVICES, INC.
October 5, 2011 - May 31, 2024
CUNA BROKERAGE SERVICES, INC.
August 12, 2010 - July 15, 2011
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 23, 2007 - September 8, 2010
LPL FINANCIAL LLC
May 23, 2007 - September 8, 2010
LPL FINANCIAL LLC
April 30, 2007 - August 27, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
April 30, 2007 - August 27, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 30, 2006 - January 4, 2007
LPL FINANCIAL LLC
June 30, 2006 - January 4, 2007
LPL FINANCIAL LLC
October 31, 2005 - July 12, 2006
OSAIC SERVICES, INC.
October 13, 2003 - July 19, 2006
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
August 13, 2003 - October 31, 2005
SUNAMERICA SECURITIES, INC.
May 5, 2003 - August 8, 2003
IFMG SECURITIES, INC.
March 11, 2003 - August 8, 2003
IFMG SECURITIES, INC.
May 12, 1994 - February 24, 2003
ESSEX NATIONAL SECURITIES, LLC
September 24, 1991 - December 22, 1993
CAPITAL BROKERAGE CORPORATION
July 26, 1990 - October 1, 1991
LEHMAN BROTHERS 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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
