Randall S. Erwin

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CRD#: 1652245

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.

Randall Steven Erwin, who also goes by Randy Erwin, was a registered financial professional .

Randall is a previously registered financial professional and started their career in finance in 1987. Randall had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy Erwin

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) Yorktown Management & Research Co., Inc.; Oxford, MS; Investment Related; Began 03/2023; Mutual Fund Family; Regional Director; Wholesaling of Mutual Funds; 160 hours per month all during securities trading hours 2) Mississippi Arms; Non-Investment Related; Oxford, MS; Fire Arms Dealer; Co-Owner; 1/22 Start Date; 4 hours per month; 0 during trading hours. 3) Long Meadow HOA; Non-Investment Related; Oxford, MS; Home Owners Association; Treasurer; Deposit dues, oversee bill paying; 12/2022; 1 hrs/mo.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 30, 2023 - June 9, 2023

YORKTOWN MANAGEMENT AND RESEARCH CO INC

RIA

CRD#: 105083

Oxford, MS

Past

May 15, 2017 - January 27, 2023

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

February 3, 2014 - December 31, 2020

YORKTOWN MANAGEMENT AND RESEARCH CO INC

RIA

CRD#: 105083

CHESTERFIELD, MO

Past

April 24, 2012 - October 5, 2016

UNIFIED FINANCIAL SECURITIES, LLC

CRD#: 7868

INDIANAPOLIS, IN

Past

March 29, 2011 - April 17, 2012

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

CHESTERFIELD, MO

Past

May 28, 2009 - April 17, 2012

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

February 27, 2009 - April 29, 2009

AUSDAL FINANCIAL PARTNERS, INC.

CRD#: 7995

CHESTERFIELD, MO

Past

September 19, 2007 - November 11, 2008

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

CHESTERFIELD, MO

Past

July 29, 1997 - September 18, 2007

EQUITABLE DISTRIBUTORS, LLC

CRD#: 25900

CHARLOTTE, NC

Past

March 24, 1995 - July 22, 1997

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

December 13, 1993 - March 7, 1995

IAC SECURITIES, INC.

CRD#: 14081

TINLEY PARK, IL

Past

March 23, 1988 - October 18, 1989

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

June 23, 1987 - March 29, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

YORKTOWN MANAGEMENT AND RESEARCH CO INC

CRD#: 105083 / SEC#: 801-23441

RIA

Registered Investment Advisory firm - (2/11/1985 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/28/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/3/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/10/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/20/1994

Investment Company Products/Variable Contracts Principal Examination

Current Firm

YORKTOWN MANAGEMENT AND RESEARCH CO INC

CRD#: 105083 / SEC#: 801-23441

RIA

Registered Investment Advisory firm - (2/11/1985 Approved)

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Contact information

Main Address

106 Annjo Court Suite A, Forest, VA 24551-2630

Mailing Address

Phone number

(434) 846-1361

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	4
AUM (Assets Under Management)	$ 692,421,793

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

Randall S. Erwin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FORESIDE FUND SERVICES, LLC

YORKTOWN MANAGEMENT AND RESEARCH CO INC

UNIFIED FINANCIAL SECURITIES, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

AUSDAL FINANCIAL PARTNERS, INC.

TRANSAMERICA CAPITAL, LLC

EQUITABLE DISTRIBUTORS, LLC

ESSEX NATIONAL SECURITIES, LLC

IAC SECURITIES, INC.

MARKETING ONE SECURITIES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

YORKTOWN MANAGEMENT AND RESEARCH CO INC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/28/2011

Series 63

Date: 1/3/1994

SIE

Date: 10/1/2018

Series 7

Date: 2/27/1995

Series 6

Date: 12/10/1993

Series 26

Date: 5/20/1994

Current Firm

YORKTOWN MANAGEMENT AND RESEARCH CO INC

Contact information

SEC notice filing (2 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

YORKTOWN MANAGEMENT AND RESEARCH CO INC

TRUST BUT VERIFY

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