Randye L. Kaplan
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.
Randye Lynn Kaplan, CFP® was a registered financial professional .
Randye is a previously registered financial professional and started their career in finance in 1987. Randye had worked at 4 firms and has passed the Series 65, Series 63 and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2017 - April 27, 2020
BEACON POINTE WEALTH ADVISORS, LLC
February 22, 2017 - January 27, 2025
BEACON POINTE ADVISORS, LLC
November 15, 2013 - March 29, 2017
WALDEN CAPITAL ADVISORS, LLC
October 21, 1987 - November 30, 1990
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BEACON POINTE WEALTH ADVISORS, LLC
CRD#: 151328 / SEC#: 801-70550
Contact information
Documents
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
