Randolph C. Guggenheimer
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 Coleman Guggenheimer JR, who also goes by Randolph Guggenheimer Jr, Randy Guggenheimer Jr, Randy Guggenheimer, Randolph Coleman Guggernheimer Jr, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1970. Randolph had worked at 4 firms and has passed the Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 1998 - July 10, 2014
BURNHAM SECURITIES INC.
December 9, 1971 - November 19, 1998
ADVEST, INC.
September 2, 1970 - February 18, 1971
F I DUPONT GLORE FORGAN & CO
May 13, 1970 - April 27, 1971
HIRSCH & CO.
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
PC
Date: 11/14/1989
AMEX Put and Call ExamSeries 1
Date: 8/22/1969
Registered Representative ExaminationSeries 40
Date: 5/11/1970
Registered Principal ExaminationCurrent Firm
BURNHAM SECURITIES INC.
CRD#: 22549 / SEC#: 801-65646, 8-39788
Contact information
Disclosures
| Regulatory Event | 6 |
Red Flags
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