Randall S. Givens
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.
Randall S Givens, who also goes by Randall Scott Givens, Randy Givens, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1992. Randall had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2012 - December 24, 2025
SCHWAB WEALTH ADVISORY, INC.
May 15, 2007 - December 31, 2011
CHARLES SCHWAB & CO., INC.
January 20, 1998 - December 24, 2025
CHARLES SCHWAB & CO., INC.
May 30, 1997 - February 5, 1998
VANGUARD MARKETING CORPORATION
February 17, 1992 - October 7, 1992
CENTURY INVESTORS OF AMERICA, INC.
Primary Firm SEC Registration
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
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
SCHWAB WEALTH ADVISORY, INC.
CRD#: 159035 / SEC#: 801-72795
Contact information
SEC notice filing (53 States and Territories)
Red Flags
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