Randall Glick
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 Glick, who also goes by Randy Glick, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 2010. Randall had worked at 6 firms and has passed the Series 66, SIE, Series 31 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
June 27, 2017 - February 12, 2019
CAPITAL ONE ADVISORS, LLC
October 20, 2016 - February 12, 2019
CAPITAL ONE INVESTING, LLC
May 13, 2016 - September 19, 2016
PRUCO SECURITIES, LLC.
May 9, 2016 - September 19, 2016
PRUCO SECURITIES, LLC.
March 10, 2014 - March 28, 2016
PNC WEALTH MANAGEMENT LLC
July 5, 2011 - March 6, 2014
HORNOR, TOWNSEND & KENT, LLC
September 3, 2010 - June 27, 2011
MORGAN STANLEY
August 3, 2010 - June 27, 2011
MORGAN STANLEY
State Registrations and Notice Filings
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Exams
Current Firm
CAPITAL ONE ADVISORS, LLC
CRD#: 136865 / SEC#: 801-64662
Contact information
Documents
Red Flags
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