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RANDALL THOMAS FENTZLAFF
CRD#: 1736887
IA
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PIPER SANDLER & CO.CRD#: 665 324 East Wisconsin Ave
Suite 720
Milwaukee, WI 53202
Suite 720
Milwaukee, WI 53202
0
Disclosures
37
Years of Experience
View By:
State Registrations
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Arizona 12/15/2021
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Nevada 10/14/2015
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California 1/4/2016
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North Dakota 7/3/2024
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Illinois 10/10/2015
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Pennsylvania 2/20/2025
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Iowa 10/14/2015
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Texas 7/3/2024
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Kansas 7/3/2024
B
Utah 11/20/2017
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Michigan 7/3/2024
B
Wisconsin 10/10/2015
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Minnesota 10/14/2015
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Wisconsin 2/6/2018
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Minnesota 2/6/2018
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Wyoming 7/3/2024
SRO Registrations
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IA
Registered with this firm since 2/6/2018
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Registered with this firm since 10/10/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/04/2017 - 12/31/2017 | MINNEAPOLIS, MN | |
IA | 08/05/2016 - 12/31/2016 | MINNEAPOLIS, MN | |
IA | 10/20/2015 - 12/31/2016 | MINNEAPOLIS, MN | |
B | 08/01/2012 - 10/19/2015 | MILWAUKEE, WI | |
B | 09/24/1987 - 08/31/2012 | MILWAUKEE, WI |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.