AARON PETER RANDOLPH is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 150 1ST AVE NE 1ST & 2ND FLS, CEDAR RAPIDS, IA, 52401.
AARON PETER RANDOLPH has worked at WELLS FARGO CLEARING SERVICES, LLC since January 03, 2011
Disclosure History
AARON PETER RANDOLPH has 2 Disclosure Event(s).
Date: December 20, 2012 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT CLOSED END FUNDS PURCHASED BY FA WERE A SERIOUS DEPARTURE FROM HIS PATTERN OF BUYING GUARANTEED CDS. CLAIMS THAT HE SOUGHT SAFETY OF PRINCIPAL AND CAPITAL PRESERVATION. (7/24/07, 8/24/07, 1/10/08)
Date: September 28, 2009 Category: Customer Dispute Allegations: CLIENT STATES THAT THE ADVISOR SHOULD HAVE KNOWN ABOUT THE PROBLEMS WITH FEDERAL NATIONAL MORTGAGE ASSOCIATION AND SHOULD NEVER HAVE SUGGESTED THE INVESTMENT. DATES OF ALLEGED ACTIVITIES: 06/25/2008.
More Information
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