Michael A. Randolph
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.
Michael Alan Randolph was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 4 firms and has passed the Series 2 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 2013 - October 12, 2016
WILLOW CREEK WEALTH MANAGEMENT, INC.
June 17, 2004 - March 7, 2014
RANDOLPH MANAGED INVESTMENTS
September 18, 1986 - January 4, 1988
CYPRESS CAPITAL CORPORATION
September 25, 1984 - December 26, 1985
OSAIC FA, INC.
Primary Firm SEC Registration
WILLOW CREEK WEALTH MANAGEMENT, INC.
CRD#: 109240 / SEC#: 801-56562
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
Series 2
Date: 9/24/1993
Non-Member General Securities ExaminationCurrent Firm
WILLOW CREEK WEALTH MANAGEMENT, INC.
CRD#: 109240 / SEC#: 801-56562
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,923 |
| AUM (Assets Under Management) | $ 1,945,693,378 |
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.
