Randy K. Barkley

TRICORD ADVISORS

RIVERSIDE, CA 92506

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CRD#: 1178154

Professional summary

Randy King Barkley, CFP® is a registered financial advisor currently at TRICORD ADVISORS, INC. located in Riverside, California.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Randy has worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

I AM A LICENSED REAL ESTATE AGENT AND INSURANCE AGENT. I WRITE ANNUITIES, LONG TERM CARE, LIFE INSURANCE AND MAY RECEIVE COMMISSIONS ON REAL ESTATE TRANSACTIONS. WHOLESALE AUTO DEALER LICENSE - SINCE 2007 - 1 HR PER MONTH

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy King Barkley's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2006

Experience

Current

March 10, 2011 - Present

TRICORD ADVISORS, INC.

Office #1: 6772 Magnolia Ave., Riverside, CA 92506

RIA

CRD#: 155749

RIVERSIDE, CA

Past

July 11, 2008 - April 1, 2011

LIBERTY GROUP, LLC

RIA

CRD#: 106036

RIVERSIDE, CA

Past

March 1, 2005 - May 30, 2008

LIBERTY GROUP, LLC

RIA

CRD#: 114110

RIVERSIDE, CA

Past

March 1, 2005 - April 1, 2011

LIBERTY GROUP, LLC

CRD#: 106036

RIVERSIDE, CA

Past

February 20, 2002 - April 1, 2005

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

November 30, 2000 - April 1, 2005

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

RIVERSIDE, CA

Past

July 12, 2000 - January 31, 2002

BANCNORTH INVESTMENT GROUP, INC.

CRD#: 31299

ST. CLOUD, MN

Past

June 26, 1998 - March 28, 2001

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

April 20, 1987 - March 27, 1996

MASTERS CAPITAL, INC.

CRD#: 15831

Past

June 6, 1984 - January 1, 1988

GREATER PACIFIC SECURITIES,INC.

CRD#: 10488

Past

October 19, 1983 - June 15, 1984

LPL FINANCIAL LLC

CRD#: 6413

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".

TRICORD ADVISORS, INC.

BARKLEY, HARGRAVE, LYONS, INC | TRICORD ADVISORS, INC. | RETIREMENT UNLIMITED

CRD#: 155749 / SEC#: 801-113764

RIA

Registered Investment Advisory firm - (7/27/2018 Approved)

California

Registered Investment Advisory firm - (4/25/2019 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(3/10/2011)

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 66

Date: 10/27/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/30/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/30/1991

General Securities Principal Examination

Current Firm

TRICORD ADVISORS, INC.

BARKLEY, HARGRAVE, LYONS, INC | TRICORD ADVISORS, INC. | RETIREMENT UNLIMITED

CRD#: 155749 / SEC#: 801-113764

RIA

Registered Investment Advisory firm - (7/27/2018 Approved)

California

Registered Investment Advisory firm - (4/25/2019 Terminated)

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Contact information

Main Address

6772 Magnolia Avenue, Riverside, CA 92506

Mailing Address

Phone number

(951) 684-7011

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (4/1/2025)

BARKLEY ADV PART 2B (4/1/2025)

LAURA LEE ADV 2B SUP (4/1/2025)

MARSH ADV PART 2B (4/1/2025)

LEE ADV PART 2B BROCHURE (4/1/2025)

LYONS ADV PART 2B (4/1/2025)

Regulatory assets under management

Total Number of Accounts	1,032
AUM (Assets Under Management)	$ 261,667,250

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/07/2025	Cover Page	Report
04/30/2024	Cover Page	Report
04/27/2023	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.

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Firm Stability Insights

Randy K. Barkley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy King Barkley's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIBERTY GROUP, LLC

LIBERTY GROUP, LLC

LIBERTY GROUP, LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

BANCNORTH INVESTMENT GROUP, INC.

NEWPORT COAST SECURITIES, INC.

MASTERS CAPITAL, INC.

GREATER PACIFIC SECURITIES,INC.

LPL FINANCIAL LLC

Primary Firm SEC Registration

TRICORD ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2000

Series 63

Date: 7/30/1991

Series 7

Date: 10/15/1983

Series 24

Date: 8/30/1991

Current Firm

TRICORD ADVISORS, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRICORD ADVISORS, INC.

TRUST BUT VERIFY

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