RF
Randy S. Farish
AEGIS WEALTH MANAGEMENT
Toquerville, UT
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CRD#: 1211960
RF
Professional summary
Randy Steven Farish is a registered financial advisor currently at AEGIS WEALTH MANAGEMENT, INC. located in Toquerville, Utah.
Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. Randy has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
NAME: Legacy Insurance & Financial Services POSITION: Field Manager. NATURE: Insurance sales (personal production). INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 03/16/2012 ADDRESS: 1664 S Dixie Dr, H-105, St George UT 84770; DESCRIPTION: Solicit and effect insurance sales. Provide service to existing clients. Manage other agents. NAME: American Senior Benefits; POSITION: Agent/Manager; NATURE: Insurance; INVESTMENT RELATED: Yes; NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 03/16/2012 ADDRESS: 1664 S Dixie Dr, H-105, St George UT 84770; DESCRIPTION: Solicit and effect insurance sales. Provide service to existing clients. Manage other agents. NAME: Randy Farish Insurance; POSITION: Insurance Agent; NATURE: Insurance; INVESTMENT RELATED: Yes; NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 02/2012 ADDRESS: 1664 S Dixie Dr, H-105, St George UT 84770; DESCRIPTION: Solicit and effect insurance sales. Provide service to existing clients.
CRS (Client Relationship Summary) - RIA
Click below to view Randy Steven Farish'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
March 27, 2024 - Present
AEGIS WEALTH MANAGEMENT, INC.
RIA
CRD#: 301990
Toquerville, UT
Past
March 24, 2023 - March 28, 2024
SIMPLE FINANCIAL, LLC
RIA
CRD#: 321616
St. George, UT
Past
September 8, 2020 - December 31, 2022
GRADIENT ADVISORS, LLC
RIA
CRD#: 152665
St. George, UT
Past
October 30, 2018 - June 17, 2019
LEGACY WEALTH MANAGEMENT, LLC
RIA
CRD#: 174767
St George, UT
Past
February 3, 2016 - May 9, 2017
FOREST SECURITIES,INC.
BD
CRD#: 16255
HILLSIDE, IL
Past
October 5, 2015 - December 17, 2015
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
ST. GEORGE, UT
Past
December 8, 1983 - April 17, 1990
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
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".
AW
AEGIS WEALTH MANAGEMENT, INC.
AEGIS WEALTH MANAGEMENT | WILKINSON FINANCIAL | TRUMAN AND ASSOCIATES INC. | STRATEGIES FOR WEALTH MANAGEMENT LLC | STEWART WEALTH ADVISORS | SIMPLIFY ENTERPRISES LLC | PIER FINANCIAL GROUP | PHOENIX FINANCIAL GROUP LLC | OAKWAY FINANCIAL LLC | MINDIE MOLINA & INVESTMENTS & INSURANCE | CROWN HAVEN WEALTH MANAGEMENT LLC | AMERICAN LIBERTY FINANCIAL NETWORK | ALLEGIANT FINANCIAL SALES GROUP LLC | AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
RIA
Registered Investment Advisory firm - (8/13/2019 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.Highlighted states indicate IAR registrations
IAR
Utah(3/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AW
AEGIS WEALTH MANAGEMENT, INC.
AEGIS WEALTH MANAGEMENT | WILKINSON FINANCIAL | TRUMAN AND ASSOCIATES INC. | STRATEGIES FOR WEALTH MANAGEMENT LLC | STEWART WEALTH ADVISORS | SIMPLIFY ENTERPRISES LLC | PIER FINANCIAL GROUP | PHOENIX FINANCIAL GROUP LLC | OAKWAY FINANCIAL LLC | MINDIE MOLINA & INVESTMENTS & INSURANCE | CROWN HAVEN WEALTH MANAGEMENT LLC | AMERICAN LIBERTY FINANCIAL NETWORK | ALLEGIANT FINANCIAL SALES GROUP LLC | AEGIS WEALTH MANAGEMENT, INC.
CRD#: 301990 / SEC#: 801-117179
RIA
Registered Investment Advisory firm - (8/13/2019 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
317 State Street, Guthrie Center, IA 50115
Mailing Address
Phone number
(833) 483-8383
Established
Firm type
Fiscal year end
# of Employees
31
SEC notice filing (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,538 |
| AUM (Assets Under Management) | $ 175,971,164 |
Red Flags
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