Randy T. Carpen
Professional summary
Randy T Carpen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randy is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Randy had worked at 17 firms, which includes VESTECH SECURITIES INC., IBN FINANCIAL SERVICES INC., FREEDOM INVESTORS CORP., IFS SECURITIES, NEWBRIDGE SECURITIES CORPORATION, WESTPARK CAPITAL INC., IAA FINANCIAL LLC, EKN FINANCIAL SERVICES INC., JESUP & LAMONT SECURITIES CORP, GUNNALLEN FINANCIAL INC, FIRST MONTAUK SECURITIES CORP., FIRST LIBERTY INVESTMENT GROUP INC., FAIRCHILD FINANCIAL GROUP INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, BILTMORE SECURITIES INC., GKN SECURITIES CORP., FIRST UNITED EQUITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2017 - May 10, 2018
VESTECH SECURITIES, INC.
June 21, 2017 - July 20, 2017
IBN FINANCIAL SERVICES, INC.
February 25, 2015 - June 21, 2017
FREEDOM INVESTORS CORP.
December 10, 2014 - February 17, 2015
IFS SECURITIES
November 1, 2013 - December 10, 2014
NEWBRIDGE SECURITIES CORPORATION
January 10, 2013 - November 21, 2013
WESTPARK CAPITAL, INC.
August 8, 2012 - January 14, 2013
IAA FINANCIAL LLC
March 9, 2010 - August 15, 2012
EKN FINANCIAL SERVICES INC.
October 28, 2008 - February 18, 2010
JESUP & LAMONT SECURITIES CORP
February 20, 2007 - November 26, 2008
GUNNALLEN FINANCIAL, INC
January 27, 2005 - March 3, 2006
GUNNALLEN FINANCIAL, INC
April 29, 2002 - April 14, 2003
GUNNALLEN FINANCIAL, INC
August 10, 2001 - May 15, 2002
FIRST MONTAUK SECURITIES CORP.
May 6, 1998 - August 29, 2001
FIRST LIBERTY INVESTMENT GROUP, INC.
March 10, 1997 - April 14, 1998
FAIRCHILD FINANCIAL GROUP, INC.
December 3, 1996 - February 6, 1997
TUSCANY EQUITY MANAGEMENT CORPORATI0N
January 22, 1996 - November 27, 1996
BILTMORE SECURITIES, INC.
November 17, 1995 - February 10, 1996
GKN SECURITIES CORP.
February 27, 1995 - December 22, 1995
FIRST UNITED EQUITIES 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
VESTECH SECURITIES, INC.
CRD#: 41409 / SEC#: , 8-49409
Contact information
FINRA licenses (40 States and Territories)
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.
