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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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RW

Randall E. White

TRICAPITAL WEALTH MANAGEMENT
Charlotte, NC 28210
Some features on this profile are disabled
CRD#: 2182519
RW

Professional summary

Randall Eugene White, CFP®, who also goes by Randall White, Randy White, is a registered financial advisor currently at TRICAPITAL WEALTH MANAGEMENT, INC. located in Charlotte, North Carolina and OSAIC WEALTH, INC. located in Charlotte, North Carolina.

Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Randall has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?
Investment Planning
Estate Planning
Comprehensive Financial Planni...
Retirement Planning
Insurance Planning
Tax Planning
Are you a "fiduciary"?
Yes

Aliases

Randall White | Randy White

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Eugene White'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®
CFP®

Certified Financial Planner

Start date: 1994

Experience

Current

February 3, 2003 - Present

TRICAPITAL WEALTH MANAGEMENT, INC.

Office #1: Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210
RIA
CRD#: 118788
Charlotte, NC
Current

August 23, 2024 - Present

OSAIC WEALTH, INC.

Office #1: Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210
RIA
BD
CRD#: 23131
Charlotte, NC
Past

March 5, 2015 - August 23, 2024

TRIAD ADVISORS LLC

BD
CRD#: 25803
Charlotte, NC
Past

April 10, 2014 - March 6, 2015

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
CHARLOTTE, NC
Past

February 24, 2000 - December 31, 2002

TRICAPITAL WEALTH MANAGEMENT, INC.

RIA
CRD#: 118788
CHARLOTTE, NC
Past

July 18, 1994 - March 6, 2015

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
CHARLOTTE, NC
Past

March 3, 1993 - July 18, 1994

KEOGLER, MORGAN & COMPANY, INC.

BD
CRD#: 16546
ATLANTA, GA
Past

October 10, 1991 - March 6, 1993

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD

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".
TW
TRICAPITAL WEALTH MANAGEMENT, INC.
TRICAPITAL FINANCIAL GROUP, INC. | TRICAPITAL WEALTH MANAGEMENT, INC.

CRD#: 118788 / SEC#: 801-123572

RIA
Registered Investment Advisory firm - (3/31/2022 Approved)
North Carolina
Registered Investment Advisory firm - (4/11/2022 Terminated)
South Carolina
Registered Investment Advisory firm - (4/8/2022 Terminated)
Texas
Registered Investment Advisory firm - (12/31/2016 Terminated)

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
District of Columbia
(8/23/2024)
RR
Georgia
(8/23/2024)
IAR
North Carolina
(2/3/2003)
RR
North Carolina
(8/23/2024)
RR
Pennsylvania
(8/23/2024)
IAR
South Carolina
(9/20/2016)
RR
South Carolina
(8/23/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/14/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/29/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/1995
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TW
TRICAPITAL WEALTH MANAGEMENT, INC.
TRICAPITAL FINANCIAL GROUP, INC. | TRICAPITAL WEALTH MANAGEMENT, INC.

CRD#: 118788 / SEC#: 801-123572

RIA
Registered Investment Advisory firm - (3/31/2022 Approved)
North Carolina
Registered Investment Advisory firm - (4/11/2022 Terminated)
South Carolina
Registered Investment Advisory firm - (4/8/2022 Terminated)
Texas
Registered Investment Advisory firm - (12/31/2016 Terminated)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Three South Executive Park 6115 Park South Drive, Suite 330, Charlotte, NC 28210
Mailing Address
Phone number
(704) 571-8778
Established
Firm type
Fiscal year end
# of Employees
3

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PART 2A (3/3/2026)

Regulatory assets under management

Total Number of Accounts192
AUM (Assets Under Management)$ 132,704,661

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

TRICAPITAL WEALTH MANAGEMENT, INC.

CRD#: 118788Charlotte, NC 28210

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Contact information

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