Dennis Randall Laird | Financial Professional | Birmingham, Alabama

Professional summary

Dennis Randall Laird, who also goes by Randy Laird, is a registered financial advisor currently at RFG ADVISORY, LLC located in Birmingham, Alabama and PRIVATE CLIENT SERVICES, LLC located in Birmingham, Alabama.

Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Dennis has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randy Laird

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.

1) 11/11/2016. RFG ADVISORY. 248 INVERNESS CENTER DRIVE, BIRMINGHAM, AL 35242. DBA FOR PCS BUSINESS. REGISTERED REPRESENTATIVE. 40 HOURS/MO; 30 DURING TRADING HOURS. 2) 11/11/2016. RFG ADVISORY. 248 INVERNESS CENTER DRIVE, BIRMINGHAM, AL 35242. ADVISORY ACTIVITY. IAR. 40 HOURS/MO; 30 DURING TRADING HOURS. 3) NAME OF BUSINESS: LHP CAPITAL LLC. INVESTMENT-RELATED: YES, REAL ESTATE. ADDRESS: 1305 BRANCHWATER LANE, VESTAVIA, AL 35216. NATURE OF BUSINESS: COMMERCIAL REAL ESTATE. POSITION/TITLE: MEMBER/CO-OWNER OF LLC. START: 05/24/2021. HOURS DEVOTED TO OTHER BUSINESS: 2 HOURS/MONTH DEVOTED OUTSIDE SECURITIES TRADING HOURS. DUTIES: CO-OWNER, ASSIST WITH BUYING AND MANAGING COMMERCIAL REAL ESTATE PROPERTY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Randall Laird'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®

None

Experience

Current

December 7, 2016 - Present

RFG ADVISORY, LLC

Office #1: 248 Inverness Center Drive, Birmingham, AL 35242

RIA

CRD#: 158401

BIRMINGHAM, AL

Current

June 4, 2018 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 248 Inverness Center Drive, Birmingham, AL 35242

RIA

BD

CRD#: 7691

NEW YORK, NY

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".

RA

RFG ADVISORY, LLC

CRD#: 158401 / SEC#: 801-79153

RIA

Registered Investment Advisory firm - (2/6/2014 Approved)

Alabama

Registered Investment Advisory firm - (2/27/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/18/2014 Terminated)

Georgia

Registered Investment Advisory firm - (2/18/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/28/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2014 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.

RR

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Alabama
(12/7/2016)

RR

Alabama
(6/4/2018)

RR

Arkansas
(6/4/2018)

RR

Florida
(6/4/2018)

RR

Georgia
(6/4/2018)

RR

Maryland
(6/4/2018)

RR

Michigan
(6/4/2018)

RR

Mississippi
(1/4/2021)

RR

Oklahoma
(6/4/2018)

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. Note: This rule does not apply to broker-dealer activity.

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

RR

FINRA

Current Firm

RA

RFG ADVISORY, LLC

CRD#: 158401 / SEC#: 801-79153

RIA

Registered Investment Advisory firm - (2/6/2014 Approved)

Alabama

Registered Investment Advisory firm - (2/27/2014 Terminated)

Florida

Registered Investment Advisory firm - (2/18/2014 Terminated)

Georgia

Registered Investment Advisory firm - (2/18/2014 Terminated)

Louisiana

Registered Investment Advisory firm - (2/28/2014 Terminated)

Texas

Registered Investment Advisory firm - (2/18/2014 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).

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Contact information

Main Address

1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245

Mailing Address

Phone number

(205) 397-2450

Established

Firm type

Fiscal year end

# of Employees

277

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (10/8/2025)

Regulatory assets under management

Total Number of Accounts	23,999
AUM (Assets Under Management)	$ 6,120,333,343

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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Advisor Monitoring

Firm Stability Insights

Dennis R. Laird

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dennis Randall Laird's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

LPL FINANCIAL LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

RFG ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/1993

Series 63

Date: 10/16/1985

SIE

Date: 10/1/2018

Series 7

Date: 9/21/1985

Series 10

Date: 11/8/2000

Series 9

Date: 10/31/2000

FINRA

Current Firm

RFG ADVISORY, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RFG ADVISORY, LLC

TRUST BUT VERIFY

Contact information

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