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Detailed Report
RANDY VON BARGEN
RANDY PATRICK VON BARGEN, Randy P Von Bargen, Randy Von Bargen, Randy VonBargen
CRD#: 6780945
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 STANTON, CA
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 STANTON, CA
Registration History
20172018201920202021202220232024202520262 FIRMS2024 - Present (<1 year)BLPL FINANCIAL LLC (CRD# 6413)2022 - 2024 (2 years)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2020 - 2022 (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2017 - 2019 (1 year)IALPL FINANCIAL LLC (CRD# 6413)2023 - 2024 (1 year)
License(s)

State Registrations

B
Alabama 7/17/2024
B
Nebraska 7/17/2024
B
Alaska 7/17/2024
B
Nevada 7/17/2024
B
Arizona 7/17/2024
B
New Hampshire 7/17/2024
B
Arkansas 7/17/2024
B
New Jersey 7/17/2024
B
California 7/10/2024
B
New Mexico 7/17/2024
IA
California 12/16/2024
B
New York 7/17/2024
B
Colorado 7/17/2024
B
North Carolina 7/17/2024
B
Connecticut 7/17/2024
B
North Dakota 7/17/2024
B
Delaware 7/17/2024
B
Ohio 7/18/2024
B
District of Columbia 7/17/2024
B
Oklahoma 7/17/2024
B
Florida 7/17/2024
B
Oregon 7/17/2024
B
Georgia 7/17/2024
B
Pennsylvania 7/17/2024
B
Hawaii 7/17/2024
B
Puerto Rico 7/17/2024
B
Idaho 7/17/2024
B
Rhode Island 7/17/2024
B
Illinois 7/17/2024
B
South Carolina 7/17/2024
B
Indiana 7/17/2024
B
South Dakota 7/17/2024
B
Iowa 7/17/2024
B
Tennessee 7/17/2024
B
Kansas 7/17/2024
B
Texas 7/10/2024
B
Kentucky 7/17/2024
IA
Texas 12/16/2024
B
Louisiana 7/17/2024
B
Utah 7/17/2024
B
Maine 7/17/2024
B
Vermont 7/17/2024
B
Maryland 7/17/2024
B
Virgin Islands 7/17/2024
B
Massachusetts 7/17/2024
B
Virginia 7/17/2024
B
Michigan 7/17/2024
B
Washington 7/17/2024
B
Minnesota 7/17/2024
B
West Virginia 7/17/2024
B
Mississippi 7/17/2024
B
Wisconsin 7/17/2024
B
Missouri 7/17/2024
B
Wyoming 7/17/2024
B
Montana 7/17/2024

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
STANTON, CA
Registered with this firm since 12/16/2024
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
STANTON, CA
Registered with this firm since 7/10/2024
Previous Registration(s)
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IA
 02/16/2023 - 06/17/2024 LPL FINANCIAL LLC (CRD#:6413) TUSTIN, CA
B
 05/18/2022 - 06/17/2024 LPL FINANCIAL LLC (CRD#:6413) TUSTIN, CA
B
 03/02/2020 - 05/18/2022 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) TUSTIN, CA
B
 05/05/2017 - 02/13/2019 J.P. MORGAN SECURITIES LLC (CRD#:79) FOUNTAIN VALLEY, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.
IA
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
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.