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RR

Randall Reynolds

PERSHING LLC
Charlotte, NC 28217
Some features on this profile are disabled
CRD#: 1414756
RR

Professional summary


Randall Reynolds, who also goes by Randy Reynolds, is a registered financial professional currently at PERSHING LLC located in Charlotte, North Carolina and PERSHING ADVISOR SOLUTIONS LLC located in Charlotte, North Carolina.

Randall is registered as a RR (Registered Representative) and started their career in finance in 1986. Randall has worked at 8 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 9, Series 10, Series 53, Series 4, Series 24 and Series 27 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Randy Reynolds

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.
The advisor shows no other business activity.

Blog Corner


CRS (Client Relationship Summary) - BD


Click below to view Randall Reynolds'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

May 31, 2002 - Present

PERSHING LLC

Office #1: 4235 South Stream Blvd. 7 Water Ridge Plaza Suite 220, Charlotte, NC, 28217
BD
CRD#: 7560
Charlotte, NC
Current

December 1, 2021 - Present

PERSHING ADVISOR SOLUTIONS LLC

Office #1: 4235 South Stream Blvd. 7 Water Ridge Plaza, Suite 220, Charlotte, NC 28217
BD
CRD#: 36671
Charlotte, NC
Past

July 14, 1999 - September 25, 2000

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
FRANKLIN, TN
Past

May 12, 1998 - May 20, 1999

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

January 20, 1994 - October 31, 1997

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
BIRMINGHAM, AL
Past

October 21, 1991 - October 18, 1993

INDEPENDENCE ONE BROKERAGE SERVICES, INC.

BD
CRD#: 17529
FARMINGTON HILLS, MI
Past

July 7, 1987 - September 10, 1991

CAPITAL ONE INVESTMENTS, LLC

BD
CRD#: 17526
NEW ORLEANS, LA
Past

April 14, 1987 - June 16, 1987

B.F. ANDERSON INVESTMENT SECURITIES INC.

BD
CRD#: 16485
Past

January 9, 1986 - February 20, 1987

PREMIER SECURITIES CORPORATION

BD
CRD#: 16920

State Registrations and Notice Filings


Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

RR
New Jersey
(12/1/2021)
RR
North Carolina
(5/31/2002)

Exams


State Security Law Exam
RR
Series 63
Date: 10/4/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 24
Date: 12/11/1985
General Securities Principal Examination
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm


PA
PERSHING ADVISOR SOLUTIONS LLC
PERSHING ADVISOR SOLUTIONS LLC | PERSHING TRADING COMPANY, L.P.

CRD#: 36671 / SEC#: , 8-47425

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information


Main Address
One Pershing Plaza, Jersey City, NJ 07399
Mailing Address
One Pershing Plaza, Jersey City, NJ 07399
Phone number
(201) 413-2000
Established
Delaware since 09/08/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers


NamePositionCRD#
PAS HOLDINGS LLCHOLDING COMPANY
CROWLEY, JAMES THOMASCHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER1087182
DAVID, ERIC CIMARRONPRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER3132045
HARRISON, BENJAMIN WARDBOARD MEMBER, HEAD OF THE BUSINESS3121159
KEARNEY, JAMES FRANCIS IIICHIEF RISK OFFICER (CRO)6388373
LOFLING, JASON ROBERTBOARD MEMBER5177277
MUTTERER, FRANK PAULCHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO)2088419
WEISS, NINA KATECHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER2642331

Disclosures


Regulatory Event17

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.

Company Information


PERSHING ADVISOR SOLUTIONS LLC

CRD#: 36671Charlotte, NC 28217

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