Randall E. Short
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 Edward Short was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1996. Randall had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 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
April 10, 2019 - November 23, 2019
CFD INVESTMENTS, INC.
April 9, 2019 - November 23, 2019
CREATIVE FINANCIAL DESIGNS, INC.
February 5, 2018 - February 13, 2019
W&S BROKERAGE SERVICES, INC.
July 10, 2014 - August 1, 2017
MONEY CONCEPTS CAPITAL CORP
July 10, 2014 - August 1, 2017
MONEY CONCEPTS CAPITAL CORP
October 18, 2013 - July 16, 2014
EAGLE STRATEGIES LLC
August 23, 2013 - July 16, 2014
NYLIFE SECURITIES LLC
March 7, 2012 - August 12, 2013
PRUCO SECURITIES, LLC.
September 7, 2011 - November 23, 2011
L.M. KOHN & COMPANY
February 6, 2009 - June 30, 2011
MML INVESTORS SERVICES, LLC
April 14, 2008 - June 30, 2011
MML INVESTORS SERVICES, LLC
February 15, 2005 - April 17, 2008
MONEY CONCEPTS CAPITAL CORP
October 21, 2004 - April 17, 2008
MONEY CONCEPTS CAPITAL CORP
October 29, 2002 - October 21, 2004
MONY SECURITIES CORPORATION
May 16, 2000 - November 14, 2002
NEW ENGLAND SECURITIES
October 29, 1998 - May 8, 2000
LOCUST STREET SECURITIES, INC.
July 29, 1996 - October 23, 1998
VESTAX SECURITIES CORPORATION
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
CFD INVESTMENTS, INC.
CRD#: 25427 / SEC#: , 8-41727
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRAUN, BRIGIT R | OWNER | 6585909 |
| OWENS, BRENT ANTHONY | PRESIDENT/DIRECTOR | 2261719 |
| ROCKEY, BROOKE LEIGH | OWNER | 4817176 |
| THE OWENS FAMILY TRUST DATED 8/1/2017 | OWNER | |
| BAHRENBURG, MATTHEW O | CHIEF COMPLIANCE OFFICER | 5295661 |
| HALE, DANIEL KRIS | OWNER, VICE PRESIDENT, DIRECTOR | 2649813 |
| OWENS, MICKEY LEE | DIRECTOR, TRUSTEE OF THE OWENS FAMILY TRUST DATED 8/1/2017 | 1437001 |
| ROCKEY, CHRISTOPHER M | OWNER | 5504531 |
| ROOZE, KREGG JERROD | DIRECTOR, SECRETARY, TREASURER | 3174063 |
Disclosures
| Regulatory Event | 8 |
| Bond | 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.
