Randall L. Klassen
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.
Randall Lynn Klassen, who also goes by Randy Lynn Klassen, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1991. Randall had worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2018 - April 28, 2020
TD AMERITRADE, INC.
February 26, 2018 - April 28, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 26, 2018 - April 28, 2020
TD AMERITRADE, INC.
September 15, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 21, 2007 - February 26, 2018
SCOTTRADE, INC.
May 23, 2006 - December 19, 2006
WESTERN INTERNATIONAL SECURITIES, INC.
July 8, 1997 - July 7, 2004
CHARLES SCHWAB & CO., INC.
November 11, 1993 - July 7, 2004
CHARLES SCHWAB & CO., INC.
June 5, 1991 - August 11, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 3/23/2024
General Securities Representative ExaminationSeries 8
Date: 6/3/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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