Randolph W. Slifka
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.
Randolph Watkins Slifka, who also goes by Randolph Slifka, Randy Slifka, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1992. Randolph had worked at 3 firms and has passed the Series 63, SIE, Series 22 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 18, 2018 - September 3, 2019
GROWTH CAPITAL SERVICES, INC.
August 8, 2017 - December 7, 2017
GROWTH CAPITAL SERVICES, INC.
March 20, 1995 - January 31, 1997
HALCYON EXECUTION SERVICES, INC.
May 21, 1992 - March 20, 1995
HALCYON INVESTMENTS
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
GROWTH CAPITAL SERVICES, INC.
CRD#: 124658 / SEC#: , 8-65705
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
