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Susan Eileen Randall

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Information

Firm:
Type: Dual Registration
Description

Susan Randall is a financial professional at J.P. Morgan Securities LLC, a broker-dealer with over 30,100 registered representatives nationwide. Susan has held an industry securities registration for 16 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Simplehealthykitchen.Com 9 months Feb 2014 - Present
Great-Kitchen-Gadgets.Com 1 year Oct 2013 - Present
J.P. Morgan Securities LLC 1 year, 1 month 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 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
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 08/18/2010
Uniform Securities Agent State Law ExaminationSeries 63 05/23/1991
General Securities Representative ExaminationSeries 7 05/14/1991

Answers and Guides

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.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Other Pooled Investment Vehicles
Other
Corporations or Other Businesses

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

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

3 Final Judgments

3 Final Judgments

As of Date
09/08/2014
09/25/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Performance-based Fees