Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randall? Claim Your ProfileRandall Petersen is a financial advisor who has been working in the financial services industry since March 30, 1986. Randall is currently registered as a broker and an investment advisor representative in Minnesota and Texas. Randall is currently employed with UBS Financial Services INC.. Previously, Randall worked at PIPER JAFFRAY & CO., DEAN WITTER REYNOLDS INC., and PRUDENTIAL-BACHE SECURITIES INC. Randall holds licenses for Series 3, Series 7 and Series 63 exams. Randall also has the Series 65 and the SIE licenses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
MN
09/07/2012 - Present
UBS Financial Services Inc. (WAYZATA MN)
MN
11/01/1989 - 08/12/2006
PIPER JAFFRAY & CO. (WAYZATA MN)
NY
01/05/1987 - 11/10/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NA
03/31/1986 - 03/03/1987
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 12/27/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/4/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/19/1989
Series 3 - National Commodity Futures Examination
BC
Issued 3/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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