Randall W. Nabhan
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 Walter Nabhan, who also goes by Randall W Habhan, Randall W Nabhan, Randy Nabhan, Randall Walter Naphan, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1981. Randall had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2009 - December 31, 2014
ON INVESTMENT MANAGEMENT CO
September 11, 2009 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
August 15, 2005 - June 24, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 15, 2005 - June 24, 2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 16, 1998 - August 29, 2005
MORGAN STANLEY DW INC.
September 19, 1996 - August 29, 2005
MORGAN STANLEY DW INC.
January 2, 1996 - October 1, 1996
CITIGROUP GLOBAL MARKETS INC.
June 4, 1981 - July 9, 1996
SIGNATOR INVESTORS, INC.
June 4, 1981 - August 6, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
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
ON INVESTMENT MANAGEMENT CO
CRD#: 105662 / SEC#: 801-7941
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,053 |
| AUM (Assets Under Management) | $ 2,376,953,646 |
Red Flags
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