RW
Randall C. Wimsatt
CETERA INVESTMENT ADVISERS LLC
FARMINGTON, NM 87401
Some features on this profile are disabled
CRD#: 1053863
RW
Professional summary
Randall Craig Wimsatt, who also goes by Randy Wimsatt, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Farmington, New Mexico and CETERA WEALTH SERVICES, LLC located in Farmington, New Mexico.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Randall has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Wimsatt
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.
1) NAME OF ENTITY: Randy Wimsatt Agency Inc; Yes; 2460 E 20TH ST; Farmington; NM; 87401; fixed insurance sales; owner, independent agent; 1/1/1992; 160; 160; assist clients with fixed insurance, provide financial services| 2) NAME OF ENTITY:N-X Ranch; No; 23815 S VACATION WAY; SUN LAKES; AZ; 85248; Vice Chairman; NPO-Youth Services; 10/1/2010; 8; 8; Assist in organizations development and provide direction as needed| 3) NAME OF ENTITY: Randall C and Marian L Wimsatt Living Trust; No; 4400 HANNON DR; FARMINGTON; NM; 87402; Rental Property; Owner; 3/1/2014; 1; 0; Collect monthly rent from property manager.| 4) NAME OF ENTITY: Apple Orchard; No; 4400 HANNON DR.; FARMINGTON; NM; 87402; grows and sells apples; owner; 6/10/2009; 20; 20; grows and sells apples| 5) NAME OF ENTITY: independent insurance agent; Yes; 2460 E 20TH ST; FARMINGTON; NM; 87401; fixed insurance sales; independent insurance agent; 9/13/2005; 56; 56; sales of fixed insurance products| 6) NAME OF OTHER BUSINESS: UNIFIED FINANCIAL PARTNERS; INVESTMENT RELATED: YES, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: FINANCIAL SERVICES, START DATE: 3/2025, POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL, APX NUMBER OF HOURS PER WEEK: 40, APX NUMBER OF HOURS DURING TRADING HOURS: 32.5, BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Randall Craig Wimsatt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 2460 E 20th St, Farmington, NM 87401RIA
CRD#: 105644
FARMINGTON, NM
Current
June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2460 E 20th St, Farmington, NM 87401BD
CRD#: 13572
FARMINGTON, NM
Past
June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
May 25, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
FARMINGTON, NM
Past
March 18, 2005 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
FARMINGTON, NM
Past
October 14, 2003 - March 17, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
RIA
CRD#: 13626
FARMINGTON, NM
Past
October 1, 2002 - March 17, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
BD
CRD#: 13626
PHOENIX, AZ
Past
May 19, 1988 - October 1, 2002
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/9/2021)
RR
California(6/9/2021)
RR
Colorado(6/9/2021)
RR
Iowa(6/9/2021)
RR
Louisiana(3/10/2025)
RR
Massachusetts(6/9/2021)
RR
Michigan(6/9/2021)
RR
Missouri(6/9/2021)
RR
Montana(6/9/2021)
RR
New Mexico(6/9/2021)
IAR
New Mexico(6/29/2023)
RR
North Dakota(6/9/2021)
RR
Ohio(6/9/2021)
RR
Oklahoma(6/9/2021)
RR
South Carolina(6/9/2021)
RR
Texas(6/9/2021)
IAR
Texas(6/29/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
