Randy J. Cunliffe
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 James Cunliffe was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1982. Randy had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 24, 2010 - August 27, 2021
LPL FINANCIAL LLC
May 24, 2010 - August 27, 2021
LPL FINANCIAL LLC
February 3, 2009 - May 21, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
February 2, 2009 - May 21, 2010
MM ASCEND LIFE INVESTOR SERVICES, LLC
April 2, 2007 - February 5, 2009
INVESTMENT CENTERS OF AMERICA, INC.
March 23, 2007 - February 5, 2009
INVESTMENT CENTERS OF AMERICA, INC.
March 2, 1998 - February 15, 2007
MM ASCEND LIFE INVESTOR SERVICES, LLC
March 3, 1995 - March 2, 1998
AEGON USA SECURITIES INC.
September 14, 1993 - January 12, 1995
CETERA INVESTMENT SERVICES LLC
June 12, 1991 - September 14, 1993
CETERA WEALTH SERVICES, LLC
August 31, 1990 - June 17, 1991
CUNA BROKERAGE SERVICES, INC.
March 2, 1990 - August 15, 1990
ASB FINANCIAL SERVICES
March 30, 1988 - February 17, 1990
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 4, 1987 - April 5, 1988
CAPITAL BROKERAGE CORPORATION
April 18, 1985 - October 26, 1987
GRIFFIN FINANCIAL SERVICES
June 28, 1982 - March 31, 1985
NEWHARD, COOK & CO. INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
