Randall J. Crouch
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 Joseph Crouch, who also goes by Randy Joseph Crouch, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1997. Randall had worked at 5 firms and has passed the Series 63, Series 6TO, SIE, 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
July 1, 2019 - April 20, 2021
SIGMA FINANCIAL CORPORATION
December 21, 2010 - December 31, 2014
OSAIC FA, INC.
May 1, 2007 - December 22, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
November 14, 2006 - May 1, 2007
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
November 14, 2006 - May 18, 2007
OSAIC FA, INC.
April 28, 2003 - October 16, 2006
DELAWARE DISTRIBUTORS, L.P.
June 16, 1997 - April 19, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 16, 1997 - April 19, 2001
OSAIC FA, 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 6TO
Date: 7/1/2019
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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