Randy L. Berry

Some features on this profile are disabled

CRD#: 1020336

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Randy Lee Berry, who also goes by Randal Lee Berry, Randall Lee Berry, was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 1982. Randy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randal Lee Berry | Randall Lee Berry

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 18, 2013 - January 11, 2018

UNITED CAPITAL FINANCIAL ADVISORS

RIA

CRD#: 134600

ALPHARETTA, GA

Past

June 14, 2013 - July 3, 2017

GIRARD SECURITIES, INC.

CRD#: 18697

ALPHARETTA, GA

Past

December 6, 2007 - November 21, 2013

PROFESSIONAL ADVISORY GROUP, INC.

RIA

CRD#: 126453

ROSWELL, GA

Past

May 30, 1985 - June 28, 2013

PPA INVESTMENTS, INC.

CRD#: 15869

ROSWELL, GA

Past

May 8, 1985 - May 30, 1985

PPA INVESTMENTS, INC.

CRD#: 15869

Past

April 29, 1982 - May 11, 1982

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

Past

April 29, 1982 - June 4, 1985

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/31/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/16/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/3/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/17/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/19/1985

General Securities Principal Examination

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

CRD#: 134600 / SEC#: 801-64376

RIA

Registered Investment Advisory firm - (6/9/2005 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

125 E John Carpenter Frwy Suite 1300, Irving, TX 75062

Mailing Address

Phone number

(972) 822-2055

Established

Firm type

Fiscal year end

# of Employees

271

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UNITED CAPITAL FINANCIAL ADVISORS WRAP FEE PROGRAM BROCHURE (3/28/2025)

UNITED CAPITAL FINANCIAL ADVISORS ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	41,738
AUM (Assets Under Management)	$ 17,211,052,120

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/01/2024	Cover Page	Report
10/30/2023	Cover Page	Report
01/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Randy L. Berry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

GIRARD SECURITIES, INC.

PROFESSIONAL ADVISORY GROUP, INC.

PPA INVESTMENTS, INC.

PPA INVESTMENTS, INC.

NATIONWIDE INVESTMENT SERVICES CORPORATION

WZW FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

UNITED CAPITAL FINANCIAL ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/31/1993

Series 63

Date: 6/16/1982

SIE

Date: 7/3/2017

Series 7

Date: 4/17/1981

Series 24

Date: 7/19/1985

Current Firm

UNITED CAPITAL FINANCIAL ADVISORS

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED CAPITAL FINANCIAL ADVISORS

TRUST BUT VERIFY

Similar Advisors