Brent G. Randol
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.
Brent Gardner Randol, who also goes by Brent G Randol, Brent Randol, was a registered financial professional .
Brent is a previously registered financial professional and started their career in finance in 1985. Brent had worked at 16 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2021 - July 11, 2024
CHARLES SCHWAB & CO., INC.
January 23, 2018 - October 8, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
January 18, 2018 - October 8, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 6, 2017 - December 31, 2017
CUSO FINANCIAL SERVICES, L.P.
March 6, 2017 - December 31, 2017
CUSO FINANCIAL SERVICES, L.P.
January 14, 2011 - March 20, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
January 14, 2011 - March 20, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 2009 - June 3, 2010
INVESTMENT PROFESSIONALS, INC.
June 5, 2009 - June 3, 2010
INVESTMENT PROFESSIONALS, INC.
June 20, 2008 - March 18, 2009
GRUBB & ELLIS SECURITIES, INC.
May 29, 2007 - December 6, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 6, 2007
CITIGROUP GLOBAL MARKETS INC.
March 7, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 11, 2002 - February 5, 2003
CAL FED INVESTMENTS
July 23, 2002 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 11, 2001 - July 18, 2002
CUNA BROKERAGE SERVICES, INC.
October 8, 1998 - July 18, 2002
CUNA BROKERAGE SERVICES, INC.
February 3, 1998 - November 10, 1998
LOMBARD SECURITIES INCORPORATED
August 1, 1991 - September 2, 1998
IFMG SECURITIES, INC.
January 8, 1986 - May 18, 1987
GAF FINANCIAL AND INSURANCE SERVICES
November 9, 1985 - August 1, 1991
PAMCO SECURITIES AND INSURANCE SERVICES
September 25, 1985 - December 20, 1985
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
