Randy C. Tanner
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.
Randy Carl Tanner was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1981. Randy had worked at 11 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2012 - November 14, 2012
WORTH FINANCIAL GROUP INC.
May 16, 2000 - May 30, 2012
CLEARY GULL INC.
May 16, 2000 - May 30, 2012
CLEARY GULL INC.
July 6, 1999 - June 1, 2000
LPL FINANCIAL LLC
November 15, 1995 - June 10, 1998
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 1, 1992 - December 2, 1993
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 8, 1990 - December 31, 1991
CIGNA CAPITAL BROKERAGE, INC.
November 30, 1989 - March 26, 1990
DOMINION CAPITAL CORPORATION
September 29, 1987 - May 15, 1990
PDS SECURITIES INTERNATIONAL, INC.
November 26, 1984 - April 30, 1987
RAUSCHER PIERCE REFSNES, INC.
March 21, 1983 - December 4, 1984
UBS FINANCIAL SERVICES INC.
January 21, 1982 - April 6, 1983
LEHMAN BROTHERS KUHN LOEB INCORPORATED
March 23, 1981 - January 6, 1982
UBS FINANCIAL SERVICES 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
WORTH FINANCIAL GROUP INC.
CRD#: 13478 / SEC#: , 8-29827
Contact information
FINRA licenses (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 2,539,237 |
Disclosures
| Regulatory Event | 5 |
| 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.
