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Susan Eileen Randall

Description

Susan Randall a financial professional at Key Investment Services LLC, a broker-dealer with 820 registered representatives nationwide. Susan has held an industry securities registration for 13 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

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Answers and Guides

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0 Answers and 0 Financial Guides

Top Answers

Susan Eileen Randall has not answered any questions on Financial Q&A.

Top Guides

Susan Eileen Randall has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

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ownership pie chart
Individuals
High Net Worth Individuals
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

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Employer Years Dates
Key Investment Services 3 years, 1 month Apr 2010 - Present
Sears Holding Corporation 2 months Sep 2009 - Nov 2009
Phoenix Equity Planning Corp 1 year, 2 months Jan 2008 - Mar 2009
Phoenix Investment Partners 1 year, 3 months Dec 2007 - Mar 2009
Charles Schwab Bank, N.A. 3 months Jun 2007 - Sep 2007
Charles Schwab & Co. 3 months Jun 2007 - Sep 2007
Capital Brokerage Corporation 1 year, 8 months Jul 2005 - Mar 2007
Ameritrade, Inc. 7 months Dec 2004 - Jul 2005
Wells Fargo 10 months Jan 2004 - Nov 2004
Nylife Distributors Inc. 2 years, 5 months Jan 2001 - Jun 2003
New York Life Insurance Company 2 years, 10 months Aug 2000 - Jun 2003
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 03/19/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

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Regulator
SEC
FINRA
License Status
Registered
Registered
Disclosures

No Disclosures Found

3 Final Judgments
As of Date
03/19/2012
06/11/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

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Exam Series Passed Date
Uniform Combined State Law Examination Series 66 08/18/2010
Uniform Securities Agent State Law Examination Series 63 05/23/1991
General Securities Representative Examination Series 7 05/14/1991

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets