Randy Y. Landsman
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.
Randy Yale Landsman was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1988. Randy had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2015 - June 12, 2017
REGAL INVESTMENT ADVISORS LLC
June 8, 2015 - November 30, 2016
REGULUS FINANCIAL GROUP, LLC
October 16, 2014 - June 8, 2015
CALTON & ASSOCIATES, INC.
October 15, 2014 - June 8, 2015
CALTON & ASSOCIATES, INC.
April 16, 2013 - April 30, 2013
EQUITY SERVICES, INC.
April 16, 2013 - April 30, 2013
EQUITY SERVICES, INC.
October 7, 2009 - April 16, 2013
NATIONAL PLANNING CORPORATION
November 24, 2006 - April 16, 2013
NATIONAL PLANNING CORPORATION
March 10, 1998 - December 13, 2006
INVESTACORP ADVISORY SERVICES INC
December 2, 1997 - December 5, 2006
INVESTACORP, INC.
July 3, 1996 - January 5, 1998
LPL FINANCIAL LLC
June 30, 1989 - July 12, 1996
IDS LIFE INSURANCE COMPANY
June 30, 1989 - July 12, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
December 5, 1988 - July 15, 1989
1717 CAPITAL MANAGEMENT COMPANY
Primary Firm SEC Registration
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
REGAL INVESTMENT ADVISORS LLC
CRD#: 125004 / SEC#: 801-71923
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
