Randy J. Zhen
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.
Randy Jun Ren Zhen was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1996. Randy had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 13, 2017 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
September 30, 2015 - March 8, 2018
SCOTTRADE, INC.
February 28, 2013 - June 13, 2014
W.R. HAMBRECHT + CO., LLC
January 8, 2010 - November 8, 2012
W.R. HAMBRECHT + CO., LLC
July 31, 2000 - April 16, 2010
WHITE PACIFIC SECURITIES, INC.
April 3, 1997 - July 31, 2000
ACUMENT SECURITIES, INC.
March 29, 1996 - September 14, 1996
ACUMENT SECURITIES, INC.
January 29, 1996 - August 1, 1996
AMERICAL SECURITIES, 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
Series 55
Date: 4/25/2000
Limited Representative-Equity Trader ExamCurrent Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
Red Flags
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