LR
Lindsey T. Randolph
CETERA INVESTMENT ADVISERS LLC
STOCKTON, CA 95207
Some features on this profile are disabled
CRD#: 1668359
LR
Professional summary
Lindsey Todd Randolph, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Stockton, California and CETERA WEALTH SERVICES, LLC located in Stockton, California.
Lindsey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Lindsey has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. FIXED INSURANCE AGENT: ANNUITIES; 2.NAME OF OTHER BUSINESS: R PROPERTIES INVESTMENT RELATED: NO ADDRESS: 5391 COVEY CREEK CIRCLE STOCKTON CA 95207 NATURE OF BUSINESS: REAL ESTATE RENTALS START DATE: 3/2010 APX NUMBER OF HOURS PER WEEK: 2 APX NUMBER OF HOURS DURING TRADING HOURS: 2 POSITION/TITLE/RELATIONSHIP: OWNER BRIEF DESCRIPTION OF DUTIES: GENERAL DUTIES 3. NAME OF OTHER BUSINESS: VALLEY FINANCIAL SERVICES, INVESTMENT RELATED: NO, ADDRESS: 1776 W. MARCH LANE SUITE 310 STOCKTON, CA 95207, NATURE OF BUSINESS: NOTARY, POSITION/TITLE/RELATIONSHIP: OWNER, START DATE: 09/01/2012, APX NUMBER OF HOURS PER WEEK: <1, APX NUMBER OF HOURS DURING TRADING HOURS: <1, BRIEF DESCRIPTION OF DUTIES: NOTARIZES DOCUMENTS FOR CLIENTS AND NON-CLIENTS; 4. NAME OF OTHER BUSINESS: VALLEY FINANCIAL SERVICES, INVESTMENT RELATED: NO, ADDRESS: SAME AS REGISTERED LOCATION, NATURE OF BUSINESS: OFFICE RENTAL, START DATE: NOVEMBER 1, 2012, APX NUMBER OF HOURS PER WEEK: 0, APX NUMBER OF HOURS DURING TRADING HOURS: 0, BRIEF DESCRIPTION OF DUTIES: SUBLETS OFFICE SPACE; 5. NAME OF OTHER BUSINESS: L & J FINANCIAL INC.; INVESTMENT RELATED: NO; ADDRESS: 5757 PACIFIC AVENUE SUITE 248, STOCKTON, CA 95207; NATURE OF BUSINESS: S-CORP / TAX REPORTING ENTITY; START DATE: 09/2012; POSITION/TITLE/RELATIONSHIP: OWNER /CEO / CFO; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; BRIEF DESCRIPTION OF DUTIES:RUN ONE BOARD MEETING A YEAR; 6. NAME OF OTHER BUSINESS: GOSPEL CENTER RESCUE MISSION; INVESTMENT RELATED: NO; ADDRESS: 445 S SAN JOAQUIN ST, STOCKTON, CA 95207; NATURE OF BUSINESS: BOARD; START DATE: 6/2023; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1-2; APX NUMBER OF HOURS DURING TRADING HOURS: 1-2; BRIEF DESCRIPTION OF DUTIES: PARTICIPATE IN MONTHLY BOARD MEETINGS, OFFERING DIRECTION & GUIDANCE TO EXECUTIVE DIRECTOR; 7. NAME OF OTHER BUSINESS: NEW HOPE FAMILY SHELTER INC.; INVESTMENT RELATED: NO; ADDRESS: 445 S. SAN JOAQUIN ST, STOCKTON, CA 95203; NATURE OF BUSINESS: BOARD; START DATE: 7/2025; POSITION/TITLE/RELATIONSHIP: ELECTED BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: ATTEND AT LEAST ONE BOARD MEETING PER YEAR TO REVIEW ACTIVITIES OF THE NON-PROFIT;
CRS (Client Relationship Summary) - RIA
Click below to view Lindsey Todd Randolph's 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®
CFP®
Start date: 1992
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 5757 Pacific Ave Ste 248, Stockton, CA 95207RIA
CRD#: 105644
STOCKTON, CA
Current
March 1, 1990 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 5757 Pacific Ave Ste 248, Stockton, CA 95207BD
CRD#: 13572
Stockton, CA
Past
April 21, 2000 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
STOCKTON, CA
Past
August 2, 1988 - March 14, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
BD
CRD#: 17970
LOS ANGELES, CA
Past
August 2, 1988 - March 14, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
BD
CRD#: 3600
LOS ANGELES, CA
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
RR
California(3/1/1990)
IAR
California(6/29/2023)
RR
Colorado(1/3/2019)
RR
Florida(2/22/2024)
RR
Georgia(1/2/2013)
RR
Hawaii(4/14/2014)
RR
Idaho(10/6/2015)
RR
Louisiana(5/29/2025)
RR
Maine(9/25/2012)
RR
Missouri(2/23/2005)
RR
Nevada(10/14/2020)
RR
New Jersey(7/27/2022)
RR
New Mexico(8/25/2006)
RR
North Carolina(1/6/2020)
RR
Oregon(5/12/2003)
RR
Pennsylvania(2/25/2016)
RR
South Dakota(12/13/2023)
RR
Tennessee(3/10/2025)
RR
Texas(4/5/2006)
IAR
Texas(6/29/2023)
RR
Utah(3/25/2024)
RR
Virginia(2/3/2023)
RR
Washington(7/14/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Stockton, CA 95207TRUST BUT VERIFY
Monitor Lindsey Randolph
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
