Randall K. Somercik
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 Kevin Somercik, who also goes by Randall K Somercik, Randy Somercik, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1992. Randall had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - October 18, 2017
ALLIANZ LIFE FINANCIAL SERVICES, LLC
November 21, 2013 - January 12, 2015
STRATEGIC ADVISERS LLC
July 12, 2013 - January 8, 2015
FIDELITY BROKERAGE SERVICES LLC
December 8, 2011 - June 21, 2013
TOUCHSTONE SECURITIES, INC.
February 2, 2010 - June 16, 2011
CETERA INVESTMENT SERVICES LLC
July 30, 2008 - May 12, 2009
EQUITABLE DISTRIBUTORS, LLC
June 10, 2004 - April 2, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 12, 2002 - August 5, 2003
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 1, 1994 - June 19, 1996
SECURIAN FINANCIAL SERVICES, INC.
May 5, 1992 - December 12, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
May 5, 1992 - December 12, 1994
EQUITABLE ADVISORS, LLC
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
ALLIANZ LIFE FINANCIAL SERVICES, LLC
CRD#: 612 / SEC#: , 8-13630
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANZ LIFE INSURANCE COMPANY OF NORTH AMERICA | OWNER | |
| DIAN, MATTHEW CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2246088 |
| GAUMOND, WILLIAM EDWARD | DIRECTOR | 5294073 |
| HELMEN, JOHN CURTIS | ASSISTANT VICE PRESIDENT, DISTRIBUTION NATIONAL ACCOUNTS | 4988276 |
| LORD-KRAHN, KRISTINE MARIE | CHIEF LEGAL OFFICER | 4241291 |
| THOMES, ERIC JON | CHIEF EXECUTIVE OFFICER | 4645308 |
| WALTHER, COREY JAY | PRESIDENT | 2398952 |
| WYSOCKI, REBECCA | PRINCIPAL FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | CHIEF FINANCIAL OFFICER | 6558204 |
| WYSOCKI, REBECCA | PRINCIPAL OPERATIONS OFFICER | 6558204 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
