TR
Troy A. Randall
RBC CAPITAL MARKETS
Clive, IA 50325-7474
Some features on this profile are disabled
CRD#: 1947568
TR
Professional summary
Troy A Randall, CFP®, ChFC®, CLU®, who also goes by Troy A Randall, Troy Allen Randall, is a registered financial advisor currently at RBC CAPITAL MARKETS, LLC located in Clive, Iowa.
Troy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Troy has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
What are your service offerings?
Small Business Planning
Retirement Planning
Insurance Planning
Employee and Employer Plan Ben...
Business Succession Planning
Are you a "fiduciary"?
Yes
Aliases
Troy A Randall | Troy Allen Randall
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) NAME OF ENTITY: 100 Men of Norwalk ADDRESS: PO Box 283, Norwalk, IA 50211 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Non-for-Profit START DATE: 02.27.23 CAPACITY: Board Member DUTIES: Advisory board member providing insight and perspective for how to operate the organization efficiently. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 2) NAME OF ENTITY: Twin Lakes Homeowners Association ADDRESS: 2737 83rd Ln, Norwalk, IA 50211 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: HOA START DATE: 12.03.24 CAPACITY: Board of Directors DUTIES: Vote on monthly assessments, distribution of funds for maintenance of limited common property, assist with other duties as needed. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
CRS (Client Relationship Summary) - RIA
Click below to view Troy A Randall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Troy A Randall'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: 2004
Experience
Current
March 10, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1250 Nw 128th Street Suite 200, Clive, IA 50325-7474RIA
BD
CRD#: 31194
Clive, IA
Current
March 10, 2023 - Present
RBC CAPITAL MARKETS, LLC
Office #1: 1250 Nw 128th Street Suite 200, Clive, IA 50325-7474RIA
BD
CRD#: 31194
Clive, IA
Past
June 29, 2021 - February 23, 2023
MORGAN STANLEY
RIA
CRD#: 149777
West Des Moines, IA
Past
June 29, 2021 - February 23, 2023
MORGAN STANLEY
BD
CRD#: 149777
West Des Moines, IA
Past
July 17, 2020 - June 10, 2021
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
NORWALK, IA
Past
July 17, 2020 - June 10, 2021
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Norwalk, IA
Past
March 8, 2017 - July 17, 2020
INVESTACORP ADVISORY SERVICES INC
RIA
CRD#: 109011
Norwalk, IA
Past
March 8, 2017 - July 17, 2020
INVESTACORP, INC.
BD
CRD#: 7684
Norwalk, IA
Past
April 21, 2004 - February 17, 2017
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
WEST DES MOINES, IA
Past
April 13, 2004 - February 17, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
WEST DES MOINES, IA
Past
April 15, 2003 - February 13, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
JOHNSTON, IA
Past
April 15, 2003 - February 13, 2004
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
January 29, 2002 - January 9, 2003
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
DES MOINES, IA
Past
December 15, 2000 - August 12, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
December 13, 2000 - January 9, 2003
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN FRANCISCO, CA
Past
August 7, 1996 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
BD
CRD#: 16100
MINNEAPOLIS, MN
Past
May 26, 1994 - July 15, 1996
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
Past
September 21, 1991 - April 5, 1994
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
May 16, 1989 - September 25, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
May 16, 1989 - September 25, 1991
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
Alabama(1/4/2024)
RR
Alaska(1/4/2024)
RR
Arizona(1/4/2024)
RR
Arkansas(1/4/2024)
RR
California(1/4/2024)
RR
Colorado(1/4/2024)
RR
Connecticut(1/4/2024)
RR
Delaware(1/4/2024)
RR
District of Columbia(1/4/2024)
RR
Florida(1/4/2024)
RR
Georgia(1/4/2024)
RR
Hawaii(1/4/2024)
RR
Idaho(1/4/2024)
RR
Illinois(1/4/2024)
RR
Indiana(1/4/2024)
RR
Iowa(3/15/2023)
IAR
Iowa(3/15/2023)
RR
Kansas(1/4/2024)
RR
Kentucky(1/4/2024)
RR
Louisiana(1/4/2024)
RR
Maine(1/4/2024)
RR
Maryland(1/4/2024)
RR
Massachusetts(1/4/2024)
RR
Michigan(1/4/2024)
RR
Minnesota(3/10/2023)
IAR
Minnesota(3/10/2023)
RR
Mississippi(1/4/2024)
RR
Missouri(1/4/2024)
RR
Montana(1/4/2024)
RR
Nebraska(1/4/2024)
RR
Nevada(1/4/2024)
RR
New Hampshire(1/4/2024)
RR
New Jersey(1/4/2024)
RR
New Mexico(1/4/2024)
RR
New York(1/4/2024)
RR
North Carolina(1/4/2024)
RR
North Dakota(1/4/2024)
RR
Ohio(1/4/2024)
RR
Oklahoma(1/4/2024)
RR
Oregon(1/4/2024)
RR
Pennsylvania(1/4/2024)
RR
Puerto Rico(1/4/2024)
RR
Rhode Island(1/4/2024)
RR
South Carolina(1/4/2024)
RR
South Dakota(1/4/2024)
RR
Tennessee(1/4/2024)
RR
Texas(1/4/2024)
IAR
Texas(1/4/2024)
RR
Utah(1/4/2024)
RR
Vermont(1/4/2024)
RR
Virgin Islands(1/4/2024)
RR
Virginia(1/4/2024)
RR
Washington(1/4/2024)
RR
West Virginia(1/4/2024)
RR
Wisconsin(1/4/2024)
RR
Wyoming(1/4/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
RC
RBC CAPITAL MARKETS, LLC
DAIN RAUSCHER INC | REGIONAL OPERATIONS GROUP, INC. | RBC WEALTH MANAGEMENT | RBC DAIN RAUSCHER INC. | RBC DAIN RAUSCHER | RBC CORRESPONDENT SERVICES | RBC CLEARING AND CUSTODY | RBC CAPITAL MARKETS, LLC | RBC CAPITAL MARKETS CORPORATION | RBC ADVISOR SERVICES | INTERRA CLEARING SERVICES, INC. | DAIN RAUSCHER INCORPORATED
CRD#: 31194 / SEC#: 801-13059, 8-45411
RIA
Registered Investment Advisory firm - SEC (6/2/1977 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
200 Vesey St., New York, NY 10281
Mailing Address
250 Nicollet Mall Suite 1600, Minneapolis, MN 55401
Phone number
(612) 371-2811
Established
Minnesota since 11/01/2010
Firm type
Limited Liability Company
Fiscal year end
October
Firm Size
Large
# of Employees
8,476
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RBC USA HOLDCO CORPORATION | DIRECT OWNER | |
| CARLESIMO, PAUL ADAM | CHIEF COMPLIANCE OFFICER, RBC CAPITAL MARKETS - U.S. | 4718504 |
| ESPENAK, KRISTEN ELIZABETH | CHIEF RISK OFFICER, USA | 5570750 |
| GIEGERICH, ROBERT ARTHUR | PRINCIPAL FINANCIAL OFFICER | 5736294 |
| GLASSMAN, DORJE TSERING | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 6568226 |
| LISCHIN, MATTHEW CODY | CO-HEAD OF U.S. CAPITAL MARKETS LAW GROUP | 4974723 |
| O'CONNOR, SEAN WALTER | CHIEF COMPLIANCE OFFICER, RBC WEALTH MANAGEMENT - U.S. | 6578918 |
| PENN, JOHN CHRISTOPHER | GENERAL COUNSEL | 5135403 |
| SAGISSOR, THOMAS STEVEN | PRESIDENT OF RBC WEALTH MANAGEMENT | 2429425 |
| SCHREINER, CINDY LOUISE | US WEALTH MANAGEMENT PRINCIPAL OPERATIONS OFFICER | 1470050 |
| SPERDUTO, VITO ANTONIO | DIRECTOR, CEO OF U.S. CAPITAL MARKETS & CHAIRMAN OF THE BOARD | 2524961 |
| THORNE, BRETT LANE | PRESIDENT, RBC CLEARING & CUSTODY | 2523268 |
| THURLOW, JOHN J | CHIEF OPERATING OFFICER | 5726613 |
Regulatory assets under management
| Total Number of Accounts | 477,674 |
| AUM (Assets Under Management) | $ 259,962,335,074 |
Disclosures
| Regulatory Event | 364 |
| Civil Event | 3 |
| Arbitration | 114 |
| Bond | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 08/27/2024 | ||
| 09/14/2023 |
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.
Company Information
RBC CAPITAL MARKETS, LLC
CRD#: 31194Clive, IA 50325-7474TRUST BUT VERIFY
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Contact information
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