Randolph F. Simens
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.
Randolph Frederick Simens, who also goes by Randy Simens, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1980. Randolph had worked at 4 firms and has passed the Series 63 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
May 23, 2006 - July 18, 2007
CAPITAL GROWTH FINANCIAL, LLC
May 19, 2004 - August 10, 2005
SYNERGY INVESTMENT GROUP, LLC
May 20, 1981 - April 17, 2002
PRUDENTIAL EQUITY GROUP, LLC
December 30, 1980 - May 27, 1981
BEVILL, BRESLER & SCHULMAN INCORPORATED
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
CAPITAL GROWTH FINANCIAL, LLC
CRD#: 41040 / SEC#: , 8-49268
Contact information
Documents
Disclosures
| Regulatory Event | 12 |
| Arbitration | 8 |
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.
