Randy L. Alford
Professional summary
Randy Lamar Alford was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randy is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Randy had worked at 6 firms, which includes SOUTHEAST INVESTMENTS N.C. INC., SAXONY CAPITAL MANAGEMENT LLC, SAXONY SECURITIES INC., CLEARING SERVICES OF AMERICA INC., J.C. BRADFORD & CO., A. G. EDWARDS & SONS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 21, 2009 - October 12, 2015
SOUTHEAST INVESTMENTS, N.C., INC.
July 12, 2005 - November 9, 2005
SAXONY CAPITAL MANAGEMENT, LLC
August 27, 2003 - September 22, 2009
SAXONY SECURITIES, INC.
March 18, 1994 - September 8, 2003
CLEARING SERVICES OF AMERICA, INC.
December 8, 1992 - March 10, 1994
J.C. BRADFORD & CO.
June 3, 1991 - October 23, 1992
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
SOUTHEAST INVESTMENTS, N.C., INC.
CRD#: 43035 / SEC#: , 8-50127
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Arbitration | 3 |
Red Flags
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