Randall D. Brown
Professional summary
Randall Dale Brown was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randall is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Randall had worked at 8 firms, which includes 1717 CAPITAL MANAGEMENT COMPANY, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, CHASE INVESTMENT SERVICES CORP., CIBC WORLD MARKETS CORP., DUKE & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2005 - May 22, 2007
1717 CAPITAL MANAGEMENT COMPANY
June 18, 2002 - September 16, 2005
METROPOLITAN LIFE INSURANCE COMPANY
June 18, 2002 - September 16, 2005
MSI FINANCIAL SERVICES, INC.
September 18, 2000 - February 7, 2001
IDS LIFE INSURANCE COMPANY
September 18, 2000 - February 7, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
May 3, 1999 - July 31, 2000
CHASE INVESTMENT SERVICES CORP.
August 10, 1998 - May 5, 1999
METROPOLITAN LIFE INSURANCE COMPANY
August 10, 1998 - May 5, 1999
MSI FINANCIAL SERVICES, INC.
April 12, 1996 - August 27, 1996
CIBC WORLD MARKETS CORP.
December 12, 1995 - April 2, 1996
DUKE & CO., INC.
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
1717 CAPITAL MANAGEMENT COMPANY
CRD#: 4082 / SEC#: , 8-14657
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
| Bond | 3 |
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.
