Randy S. Koontz

UNITING WEALTH PARTNERS | Branch Manager

ROGERS, AR 72758

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CRD#: 1884085

Professional summary

Randy Scott Koontz is a registered financial advisor currently at UNITING WEALTH PARTNERS located in Rogers, Arkansas.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Randy has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6, Series 10 and Series 9 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) Licensed insurance agent; Investment-related; Same address; Insurance sales; Implementation of insurance recommendations; Approx. 10% of time during the month. 2) Pinnacle Wealth Mgt.; Investment-related; Same address; Support company; Owner; Start date: 08/2018; Approx. 5% of time during the month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Scott Koontz'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

October 29, 2024 - Present

UNITING WEALTH PARTNERS

Office #1: 3300 S Market St Suite 400, Rogers, AR 72758

RIA

CRD#: 332317

ROGERS, AR

Past

August 10, 2018 - October 9, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

ROGERS, AR

Past

August 10, 2018 - October 9, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Rogers, AR

Past

August 21, 2006 - August 10, 2018

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ROGERS, AR

Past

August 18, 2006 - August 10, 2018

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ROGERS, AR

Past

April 18, 2002 - August 21, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

ROGERS, AR

Past

March 28, 2002 - August 21, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

ROGERS, AR

Past

July 27, 1990 - April 30, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 3, 1988 - June 8, 1990

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

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".

UNITING WEALTH PARTNERS

UNITING WEALTH PARTNERS | UNITING WEALTH PARTNERS LLC

CRD#: 332317 / SEC#: 801-131215

RIA

Registered Investment Advisory firm - (9/27/2024 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.

Highlighted states indicate IAR registrations

IAR

Arkansas
(10/29/2024)

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: 7/24/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/3/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/7/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/20/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/30/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/6/2007

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/5/2007

General Securities Sales Supervisor - Options Module Examination

Current Firm

UNITING WEALTH PARTNERS

UNITING WEALTH PARTNERS | UNITING WEALTH PARTNERS LLC

CRD#: 332317 / SEC#: 801-131215

RIA

Registered Investment Advisory firm - (9/27/2024 Approved)

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Contact information

Main Address

240 Saint Paul Street Suite 300, Denver, CO 80206

Mailing Address

Phone number

(479) 364-0686

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

UWP ADV 2A (8/20/2025)

Regulatory assets under management

Total Number of Accounts	1,334
AUM (Assets Under Management)	$ 544,715,574

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Randy S. Koontz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Scott Koontz's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

CAPITAL BROKERAGE CORPORATION

Primary Firm SEC Registration

UNITING WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/1998

Series 63

Date: 10/3/1988

SIE

Date: 10/1/2018

Series 31

Date: 1/7/2005

Series 7

Date: 8/20/1990

Series 6

Date: 9/30/1988

Series 10

Date: 4/6/2007

Series 9

Date: 4/5/2007

Current Firm

UNITING WEALTH PARTNERS

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

UNITING WEALTH PARTNERS

TRUST BUT VERIFY

Contact information

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