Randall W. Hunt
Professional summary
Randall William Hunt was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Randall is a previously registered financial professional and started their career in finance in 1985. Prior to being barred, Randall had worked at 7 firms, which includes AMERIPRISE FINANCIAL SERVICES LLC, STIFEL NICOLAUS & COMPANY INCORPORATED, WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC, CITIGROUP GLOBAL MARKETS INC., LEHMAN BROTHERS INC., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2016 - March 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
February 5, 2016 - March 22, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
November 28, 2008 - January 19, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
November 28, 2008 - January 19, 2016
STIFEL, NICOLAUS & COMPANY, INCORPORATED
July 1, 2003 - December 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 11, 2008
WELLS FARGO CLEARING SERVICES, LLC
September 12, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 27, 1999 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 31, 1993 - July 30, 1999
CITIGROUP GLOBAL MARKETS INC.
October 11, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 23, 1985 - October 22, 1992
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
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.
