Randall C. Schakner
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 Colin Schakner was a registered financial advisor .
Randall is a previously registered financial advisor and started their career in finance in 1973. Randall had worked at 13 firms and has passed the Series 65, Series 63, Series 15, Series 000, Series 1, Series 4 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
September 4, 2008 - March 1, 2011
BIRKELBACH INVESTMENT SECURITIES, INC.
May 1, 2006 - August 14, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2006 - August 14, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 26, 2005 - November 16, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 20, 2005 - November 16, 2005
IDS LIFE INSURANCE COMPANY
May 20, 2005 - November 16, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2003 - November 7, 2003
HIGH MARK SECURITIES, INC.
June 17, 1998 - May 24, 2002
PRUDENTIAL EQUITY GROUP, LLC
January 13, 1988 - March 17, 1998
RODMAN & RENSHAW INC.
March 31, 1987 - January 25, 1988
INSIGHT SECURITIES, INC.
April 30, 1984 - December 20, 1984
INSIGHT SECURITIES, INC.
April 25, 1984 - January 27, 1987
J.P. MORGAN SECURITIES LLC
September 16, 1977 - July 25, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
July 22, 1975 - February 27, 1976
BACHE & CO., INCORPORATED
August 9, 1973 - August 10, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
August 6, 1973 - May 4, 1984
SANCTUARY 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 15
Date: 10/30/1985
Foreign Currency Options ExaminationSeries 000
Date: 8/6/1973
General Securities Principal ExaminationSeries 1
Date: 8/6/1973
Registered Representative ExaminationCurrent Firm
BIRKELBACH INVESTMENT SECURITIES, INC.
CRD#: 11490 / SEC#: , 8-22772
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CARL MAX BIRKELBACH TRUST, | TRUST IS OWNER/SHAREHOLDER OF BD | |
| ZUREK, JAMES T | CCO-TEXAS/ROP | 824892 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 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.
