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Randall John Boba

CRD# 2178908·Registered 1991 - 2015
Previously Registered: Being a previously registered professional could mean that Randall 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.

Professional Summary

Randall John Boba was a registered financial advisor. Randall was a previously registered financial professional and started their career in finance 1991 - 2015. Randall had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

18 years in the financial services industry

Current & Past Employments

OPUS FINANCIAL PARTNERS, LLC·CRD# 172146
BD
Irvine, CA
February 6, 2015 - March 19, 2015
MOSAIC CAPITAL SECURITIES, LLC·CRD# 106637
BD
Los Angeles, CA
August 20, 2012 - March 14, 2014
WHITE OAK MERCHANT PARTNERS LLC·CRD# 140142
BD
San Francisco, CA
August 11, 2010 - August 8, 2012
ARBOR RESEARCH & TRADING, LLC·CRD# 21313
BD
May 10, 1993 - October 5, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
November 13, 1991 - March 9, 1993

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Current Firm

OF
OPUS FINANCIAL PARTNERS, LLC

OPUS FINANCIAL PARTNERS, LLC

CRD#: 172146 / SEC#: 8-69501
BD
Terminated by SEC on 06/29/2019

Contact Information

Established

Delaware since 06/13/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
OPUS BANKPARENT—
GLOVIER, CURTIS ALBACEO2270225
KALK, YULIACHIEF COMPLIANCE OFFICER2612028
ROBERTS, CHRISTOPHER DEEFINOP / PFO / POO6505465

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Mar 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2010About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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