Randy A. Davis
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.
Randy Alan Davis was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1979. Randy had worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 2018 - September 4, 2019
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
May 27, 2008 - September 20, 2019
LPL FINANCIAL LLC
May 27, 2008 - September 20, 2019
LPL FINANCIAL LLC
May 21, 2003 - May 27, 2008
IFMG SECURITIES, INC.
September 21, 2001 - May 27, 2008
IFMG SECURITIES, INC.
May 21, 2001 - October 5, 2001
ESSEX NATIONAL SECURITIES, LLC
August 15, 2000 - June 13, 2001
DAVID LERNER ASSOCIATES, INC.
November 10, 1999 - September 21, 2000
INVESTOR'S ADVOCATE, LLC
May 11, 1998 - August 11, 2000
1717 CAPITAL MANAGEMENT COMPANY
May 24, 1979 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 24, 1979 - April 17, 1998
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: 5/17/1979
Registered Representative ExaminationCurrent Firm
FINANCIAL RESOURCES GROUP INVESTMENT SERVICES, LLC
CRD#: 170845 / SEC#: , 8-69435
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL CAPITAL PARTNERS, INC | OWNER | |
| KEADY, LAURA ANN | CFO / PFO / POO | 6516152 |
| LANK, STEPHEN JOHN-PATRICK | PRESIDENT | 2997028 |
| LIDDINGTON, JAMES | CHIEF AML OFFICER / MUNICIPAL SECURITIES PRINCIPAL | 4326825 |
| MILLER, EDWARD BRUCE | CEO | 1680275 |
| RICH, DAVID SEAN | CCO | |
| STIEVE, MARK ALAN | SVP | 1521386 |
| THOMPSON, JERRY CHRISTOPHER | VP | 2621099 |
Disclosures
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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