Randall S. Appel
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 Stephen Appel, who also goes by Randall S Appel, Randy Stephen Appel, Randy Appel, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1981. Randall had worked at 10 firms and has passed the Series 63, Series 7, Series 22, Series 6 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
May 3, 1995 - October 29, 2001
STRATEGIC ASSETS INC.
December 8, 1994 - June 7, 1995
THE BARON COMPANIES
July 20, 1990 - June 1, 1995
AMERIPROP, INC.
May 12, 1987 - June 25, 1990
KEOGLER, MORGAN & COMPANY, INC.
April 18, 1987 - May 29, 1987
INTERNATIONAL MONEY MANAGEMENT GROUP, INC.
March 12, 1987 - May 15, 1987
PRIME CAPITAL SERVICES, INC.
May 23, 1985 - April 6, 1987
FSC SECURITIES CORPORATION
November 1, 1984 - May 29, 1985
CARDELL & ASSOCIATES, INCORPORATED
October 25, 1982 - November 9, 1984
SIGNATOR INVESTORS, INC.
December 18, 1981 - November 19, 1983
LINCOLN FINANCIAL DISTRIBUTORS, 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
STRATEGIC ASSETS INC.
CRD#: 37590 / SEC#: , 8-47815
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| APPEL, RANDALL STEPHEN | PRESIDENT | |
| APPEL, RANDALL STEPHEN | PRESIDENT | 737169 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
