Susan Randall is a financial professional at J.P. Morgan Securities LLC, a broker-dealer with over 28,300 registered representatives nationwide. Susan has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.
Top AnswersSusan Eileen Randall has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
|Pension and Profit Sharing Plans|
|Other Pooled Investment Vehicles|
|Corporations or Other Businesses|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Great-Kitchen-Gadgets.Com||5 months, 1 week||Oct 2013 - Present|
|J.P. Morgan Securities LLC||6 months, 1 week||Sep 2013 - Present|
|Key Investment Services||3 years, 5 months||Apr 2010 - Sep 2013|
|Sears Holding Corporation||2 months||Sep 2009 - Nov 2009|
|Phoenix Equity Planning Corporation||1 year, 2 months||Jan 2008 - Mar 2009|
|Phoenix Investment Partners||1 year, 3 months||Dec 2007 - Mar 2009|
|Charles Schwab & Co||3 months||Jun 2007 - Sep 2007|
|Charles Schwab Bank, N.A.||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|
3 Final Judgments
3 Final Judgments
|As of Date||
*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.
|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|
Types of Compensation Arrangements
- Percentage of Assets
- Fixed Fees
- Performance-based Fees