Randall S. Thornton
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 Scott Thornton, who also goes by Randy Scott Thornton, Randall Scott Thorton, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1978. Randall had worked at 12 firms and has passed the Series 63, Series 5, 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
September 29, 1988 - March 13, 1989
SCHNEIDER SECURITIES, INC.
August 10, 1987 - July 29, 1988
KOBER FINANCIAL CORP.
February 12, 1987 - June 25, 1987
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC.
May 16, 1986 - March 12, 1987
HAMILTON BOHNER, INC.
April 9, 1986 - May 20, 1986
GENERAL AMERICAN SECURITIES, INC.
March 13, 1986 - April 9, 1986
LAKEVIEW SECURITIES CORPORATION
August 5, 1985 - January 21, 1986
OMNIVEST, INC.
May 11, 1984 - July 19, 1985
NTB FINANCIAL CORPORATION
July 6, 1982 - May 9, 1984
LPL FINANCIAL LLC
August 11, 1980 - June 24, 1982
E. F. HUTTON & COMPANY INC
August 16, 1979 - December 24, 1981
LEHMAN BROTHERS INC.
September 22, 1978 - September 16, 1979
AMERICAN WESTERN SECURITIES, 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 5
Date: 11/21/1981
Interest Rate Options ExaminationCurrent Firm
SCHNEIDER SECURITIES, INC.
CRD#: 16434 / SEC#: , 8-33967
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHNEIDER FINANCIAL CORP | CORPORATION | |
| BIXLER, CLARENCE LEROY JR | DIRECTOR | 22327 |
| DURAYBITO, SIEGFRIED PETER | OWNER | 1030619 |
| HINKLE, STEVEN RAY | CHIEF EXECUTIVE OFFICER/DIRECTOR | 838034 |
| KOCH, KEITH ARLAN | DIRECTOR | 1197658 |
| LOWE, TERRI ELAINE | CHIEF FINANCIAL OFFICER/DIRECTOR | 1823203 |
| MCENENY, TIMOTHY SEAN JR | OWNER | 2250543 |
| MURRAY, JAY ALAN | OWNER | 1958868 |
| NORTON, GREGORY BRUCE | DIRECTOR | 2041583 |
| OROURKE, THOMAS JOSEPH | PRESIDENT/DIRECTOR | 353467 |
| ROUSE, RICHARD JOHN | VICE-PRESIDENT/DIRECTOR | 1135898 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 17 |
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.
