Randel D. Stephenson
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.
Randel David Stephenson was a registered financial professional .
Randel is a previously registered financial professional and started their career in finance in 1976. Randel had worked at 4 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2007 - December 31, 2016
BROKER DEALER FINANCIAL SERVICES CORP.
November 2, 2005 - May 30, 2007
LPL FINANCIAL LLC
January 21, 1976 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 21, 1976 - November 11, 2005
SIGNATOR INVESTORS, 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
Series 1
Date: 1/15/1976
Registered Representative ExaminationCurrent Firm
BROKER DEALER FINANCIAL SERVICES CORP.
CRD#: 8073 / SEC#: , 8-24220
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| 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.
