Randall T. Vanek
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 Terrance Vanek SR, who also goes by Randy Vanek, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1970. Randall had worked at 3 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 1982 - April 27, 1984
KO SECURITIES, INC.
December 23, 1976 - June 17, 1977
MCLEAN & COMPANY, INC.
November 24, 1970 - October 11, 1983
PUGET SOUND 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 1
Date: 11/10/1970
Registered Representative ExaminationF04
Date: 3/25/1975
Financial Principal ExaminationSeries 00
Date: 3/25/1975
General Securities Principal ExaminationCurrent Firm
KO SECURITIES, INC.
CRD#: 8364 / SEC#: , 8-25249
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
