Randall A. Dickey
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 Austin Dickey was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1992. Randall had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2015 - July 17, 2018
FORTUNE FINANCIAL SERVICES, INC.
January 3, 2013 - October 14, 2014
THE LEADERS GROUP, INC.
July 1, 2004 - December 31, 2012
THE LEADERS GROUP, INC.
October 21, 2003 - July 1, 2004
DORTCH SECURITIES & INVESTMENTS, INC.
September 30, 2002 - July 1, 2003
AMERITAS INVESTMENT COMPANY, LLC
August 24, 2001 - October 2, 2002
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 3, 1997 - July 27, 2001
AMERITAS INVESTMENT COMPANY, LLC
May 22, 1996 - September 30, 1997
EQUITY SERVICES, INC.
March 15, 1993 - May 22, 1996
WS GRIFFITH SECURITIES, INC.
August 28, 1992 - March 15, 1993
VP DISTRIBUTORS 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
FORTUNE FINANCIAL SERVICES, INC.
CRD#: 42150 / SEC#: , 8-49727
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIELS, BLAKE WILLIAM | CHAIRMAN OF THE BOARD; SECRETARY;TREASURER;CFO | 1285106 |
| DANIELS, BRIAN LEE | OWNER | 1213561 |
| BENTLEY, GREGORY JOHN | PRESIDENT, CHIEF EXECUTIVE OFFICER | 705379 |
| PINTARIC, WILLIAM RICHARD JR | CHIEF COMPLIANCE OFFICER | |
| WHITENACK, MITCH LEE | CHIEF OPERATIONS OFFICER, FINOP, PFO, POO | 4794021 |
Disclosures
| Regulatory Event | 4 |
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.
