Randy A. Mulford
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 Alfred Mulford was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1991. Randy had worked at 9 firms and has passed the Series 63, SIE, Series 55, 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
July 11, 2022 - May 23, 2023
CAUSEWAY SECURITIES LLC
December 17, 2019 - June 23, 2021
HALO SECURITIES, LLC
September 14, 2013 - January 2, 2018
CREDIT SUISSE SECURITIES (USA) LLC
September 22, 2008 - February 26, 2013
BARCLAYS CAPITAL INC.
April 29, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
February 7, 2001 - May 9, 2001
NASDAQ EXECUTION SERVICES, LLC
January 24, 2001 - July 12, 2001
EXCHANGE CONNECTIVITY, INC.
February 24, 1992 - March 4, 1999
CANTOR FITZGERALD & CO.
July 29, 1991 - March 4, 1999
CANTOR FITZGERALD SECURITIES
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 55
Date: 12/5/2000
Limited Representative-Equity Trader ExamCurrent Firm
CAUSEWAY SECURITIES LLC
CRD#: 315829 / SEC#: , 8-70789
Contact information
FINRA licenses (49 States and Territories)
Documents
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.
