Randall Reynolds
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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Randall Reynolds's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 31, 2002 - Present
PERSHING LLC
Office #1: 4235 South Stream Blvd. 7 Water Ridge Plaza Suite 220, Charlotte, NC, 28217December 1, 2021 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: 4235 South Stream Blvd. 7 Water Ridge Plaza, Suite 220, Charlotte, NC 28217July 14, 1999 - September 25, 2000
PFIC SECURITIES CORPORATION
May 12, 1998 - May 20, 1999
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 20, 1994 - October 31, 1997
BBVA COMPASS INVESTMENT SOLUTIONS, INC
October 21, 1991 - October 18, 1993
INDEPENDENCE ONE BROKERAGE SERVICES, INC.
July 7, 1987 - September 10, 1991
CAPITAL ONE INVESTMENTS, LLC
April 14, 1987 - June 16, 1987
B.F. ANDERSON INVESTMENT SECURITIES INC.
January 9, 1986 - February 20, 1987
PREMIER SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/1/2021)
(5/31/2002)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe C2 Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
PERSHING ADVISOR SOLUTIONS LLC
CRD#: 36671 / SEC#: , 8-47425
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAS HOLDINGS LLC | HOLDING COMPANY | |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| HARRISON, BENJAMIN WARD | BOARD MEMBER, HEAD OF THE BUSINESS | 3121159 |
| KEARNEY, JAMES FRANCIS III | CHIEF RISK OFFICER (CRO) | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER | 5177277 |
| MUTTERER, FRANK PAUL | CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 2088419 |
| WEISS, NINA KATE | CHIEF COMPLIANCE OFFICER (CCO), BOARD MEMBER | 2642331 |
Disclosures
| Regulatory Event | 17 |
Red Flags
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