Randy A. Grudzinski
Professional summary
Randy Allan Grudzinski, who also goes by Randy A. Grudzinski, is a registered financial professional currently at ARETE WEALTH MANAGEMENT, LLC located in Chicago, Illinois.
Randy is registered as a RR (Registered Representative) and started their career in finance in 2003. Randy has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 22, Series 62, Series 28 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randy Allan Grudzinski's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 14, 2016 - Present
ARETE WEALTH MANAGEMENT, LLC
Office #1: 1115 W Fulton Market 3rd Floor, Chicago, IL 60607January 7, 2015 - November 3, 2016
LUCIA SECURITIES, LLC
July 31, 2013 - December 24, 2014
AUSDAL FINANCIAL PARTNERS, INC.
March 1, 2013 - July 26, 2013
SIKICH CORPORATE FINANCE LLC
January 26, 2013 - March 1, 2013
EQUUS FINANCIAL CONSULTING LLC
May 7, 2008 - November 20, 2012
ADVANCED EQUITIES, INC.
May 16, 2006 - April 16, 2008
SPIKE FINANCIAL SERVICES, LLC
March 2, 2006 - April 10, 2006
LASALLE ST SECURITIES, L.L.C.
November 4, 2003 - October 24, 2005
MEADOWBROOK SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/14/2016)
(11/14/2016)
(11/14/2016)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 62
Date: 11/3/2003
Corporate Securities Limited Representative ExaminationSeries 28
Date: 7/14/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
ARETE WEALTH MANAGEMENT, LLC
CRD#: 44856 / SEC#: , 8-50854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARETE WEALTH INC | DIRECT OWNER | |
| BULLA, CHRISTIAN ALEXANDER | MUNICIPAL SECURITIES PRINCIPAL | 7067640 |
| CHUNG, UNBO | CHIEF COMPLIANCE OFFICER / AML COMPLIANCE OFFICER | 6208569 |
| HOCK, DAVID CARL | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL (FINOP) | 2246268 |
| RAYNER, MICAH HARDING | REGISTERED OPTIONS PRINCIPAL | 6252596 |
| ROGERS, JOSHUA DEAN | CHIEF EXECUTIVE OFFICER | 3163818 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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