Francis R. Randolph
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.
Francis Roderick Randolph, who also goes by Rod Randolph, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1977. Francis had worked at 10 firms and has passed the Series 63, 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
April 15, 1997 - September 9, 1997
CAPTRUST SECURITIES CORPORATION
July 25, 1996 - December 10, 1996
SOUTHERN FINANCIAL GROUP, INC.
August 8, 1994 - April 8, 1996
INVESTORS ASSOCIATES, INC.
November 19, 1993 - March 2, 1994
INVESTORS ASSOCIATES, INC.
June 19, 1992 - August 30, 1993
UNITED PACIFIC SECURITIES, INC.
January 25, 1991 - June 16, 1992
MORGAN STANLEY DW INC.
February 17, 1987 - December 24, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 25, 1982 - March 4, 1987
J.P. MORGAN SECURITIES LLC
August 13, 1979 - July 9, 1982
E. F. HUTTON & COMPANY INC
September 26, 1978 - May 23, 1979
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPTRUST SECURITIES CORPORATION
CRD#: 35719 / SEC#: , 8-46859
Contact information
Documents
Red Flags
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