Randall A. Wise
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 Allen Wise, who also goes by Randy Allen Wise, was a registered financial advisor .
Randall is a previously registered financial advisor and started their career in finance in 2005. Randall had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2008 - July 8, 2011
SPECTRUM CAPITAL, LLC
January 23, 2007 - April 1, 2008
AMERICAN FAMILY SECURITIES, LLC
October 4, 2006 - October 4, 2006
TD AMERITRADE, INC.
August 24, 2006 - October 4, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 23, 2006 - October 4, 2006
TD AMERITRADE, INC.
November 15, 2005 - March 20, 2006
THRIVENT INVESTMENT MANAGEMENT INC.
November 4, 2005 - March 20, 2006
THRIVENT INVESTMENT MANAGEMENT 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
Current Firm
SPECTRUM CAPITAL, LLC
CRD#: 28303 / SEC#: , 8-43627
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PREMIER FINANCIAL, INC. | OWNER | |
| HASSLER, PAUL BURTON | PRESIDENT, CCO | 858435 |
Disclosures
| Arbitration | 1 |
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.
