SR
Susan Randall
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CRD#: 2139642
SR
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.
Susan Randall, who also goes by Susan Eileen Randall, was a registered financial professional .
Susan is a previously registered financial professional and started their career in finance in 1991. Susan had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Susan Eileen Randall
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Entity Name: Zwilling Investment related: No "Address: 270 Marble Ave Pleasantville, NY 10570 Zwilling.com/us" Nature of the other business: Cookware Position/Title/Relationship: Employee/Contractor Start Date: 11/06/2023 Approximate # of hours a week: 0-10 Approximate # of hours during securities trading hours: 0 "Briefly describe your duties: Zwilling produces high-end knives, cookware, and other kitchen items. My role would be as a brand specialist/sales specialist. I would provide product training to sales associates at retail stores such as Williams Sonoma, Crate and Barrel and Sur la Table. Trainings would take place on weekends or outside of JPM hours. Hours would be about 10 per week. There is no similarity to my JPMC role and no connection to JPMC." ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: HEALTHYINSTANTPOTRECIPES.COM POSITION: WEBSITE OWNER / FOOD BLOGGER START DATE: 10/27/2018 ADDRESS: 10245 Bellevue, WA DETAILS: FOOD BLOG- HEALTHY RECIPES THAT CAN BE MADE IN THE INSTANT POT MULTI COOKER. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 5-10 HOURS DURING TRADING: 0 ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: SIMPLEHEALTHYKITCHEN.COM START DATE: 2/24/2014 ADDRESS: 10245 Bellevue, WA SimpleHealthyKitchen.com POSITION: WEBSITE OWNER / FOOD BLOGGER DETAILS: WRITE ABOUT AND PHOTOGRAPH RECIPES. WWW.SIMPLEHEALTHYKITCHEN.COM. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 5-10 HOURS DURING TRADING: 0 ACTIVITY TYPE: 3 - SECOND JOB NAME OF ENTITY: (SELF) POSITION: FREELANCE PHOTOGRAPHER START DATE: 8/1/2015 ADDRESS: 10245 Bellevue, WA DETAILS: PHOTOGRAPHY. INVESTMENT RELATED: NO HOURS DEDICATED (per month unless otherwise indicated): 5-10 HOURS DURING TRADING: 0
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 12, 2016 - May 3, 2024
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
MERCER ISLAND, WA
Past
August 3, 2016 - May 3, 2024
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MERCER ISLAND, WA
Past
October 3, 2013 - January 5, 2015
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SEATTLE, WA
Past
October 3, 2013 - January 5, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SEATTLE, WA
Past
August 19, 2010 - September 30, 2013
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
SEATTLE, WA
Past
May 6, 2010 - September 30, 2013
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
SEATTLE, WA
Past
January 4, 2008 - March 31, 2009
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
July 3, 2007 - September 18, 2007
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
MENLO PARK, CA
Past
July 3, 2007 - September 18, 2007
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
MENLO PARK, CA
Past
October 24, 2005 - March 30, 2007
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, VA
Past
June 14, 2005 - July 27, 2005
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
February 1, 2001 - July 2, 2003
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
December 24, 1997 - February 16, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
April 13, 1994 - November 25, 1997
WELLS FARGO SECURITIES INC.
BD
CRD#: 17438
SAN FRANCISCO, CA
Past
January 13, 1992 - September 1, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
May 16, 1991 - June 26, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
J.P. MORGAN SECURITIES LLC
BEAR, STEARNS & CO. | JPMORGAN H&Q | JPMORGAN CHASE | J.P.MORGAN SECURITIES INC. | J.P. MORGAN WEALTH MANAGEMENT | J.P. MORGAN SECURITIES LLC | J.P. MORGAN SECURITIES INC. | J.P. MORGAN SECURITIES | J.P. MORGAN PRIVATE WEALTH MANAGEMENT | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC | J.P. MORGAN PRIVATE CLIENT | J.P. MORGAN PRIVATE BANK | J.P. MORGAN | CHASE PRIVATE CLIENT | CHASE INVESTMENTS | BEAR, STEARNS & CO. INC.
CRD#: 79 / SEC#: 801-3702, 8-35008
RIA
Registered Investment Advisory firm - SEC (4/3/1965 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
270 Park Avenue, New York, NY 10017
Mailing Address
1111 Polaris Pkwy Floor 3f, Columbus, OH 43240
Phone number
(212) 272-2000
Established
Delaware since 08/12/1985
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
8,327
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
