Randy A. Applegate
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 Allen Applegate was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1997. Randy had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, 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
October 19, 2005 - October 21, 2021
CONDUENT SECURITIES, LLC
January 5, 2005 - June 2, 2005
BNY MELLON SECURITIES LLC
September 11, 2000 - October 23, 2000
RK SECURITIES CORPORATION
November 7, 1997 - January 24, 2003
MELLON HR SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationCurrent Firm
CONDUENT SECURITIES, LLC
CRD#: 135474 / SEC#: , 8-66927
Contact information
FINRA licenses (25 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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