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Charles Knapp Randall

Charles K. Randall

RANDALL FINANCIAL LLC
Albuquerque, NM
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CRD#: 2209839
Charles Knapp Randall

Professional summary

Charles Knapp Randall, CFP® is a registered financial advisor currently at RANDALL FINANCIAL LLC located in Albuquerque, New Mexico.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Charles has worked at 8 firms and has passed the Series 66, Series 63, Series 34, Series 3, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

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 Charles Knapp 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®

Certified Financial Planner

Start date: 2021

Experience

Current

July 6, 2023 - Present

RANDALL FINANCIAL LLC

RIA
CRD#: 325328
Albuquerque, NM
Past

December 24, 2020 - November 27, 2023

LEGACY PRESERVATION

RIA
CRD#: 298709
Albuquerque, NM
Past

July 27, 2020 - November 27, 2023

CONTINUUM ADVISORY, LLC

RIA
CRD#: 283155
Albuquerque, NM
Past

July 24, 2020 - November 29, 2023

TRIAD ADVISORS LLC

BD
CRD#: 25803
Rio Rancho, NM
Past

April 18, 2018 - July 21, 2020

PFG ADVISORS

RIA
CRD#: 173344
ALBUQUERQUE, NM
Past

March 15, 2018 - December 31, 2018

CUE FINANCIAL GROUP, INC.

RIA
CRD#: 21033
ALBUQUERQUE, NM
Past

February 8, 2018 - July 27, 2020

SECURITIES AMERICA, INC.

BD
CRD#: 10205
Albuquerque, NM
Past

March 16, 1992 - March 27, 1996

WADDELL & REED

BD
CRD#: 866
OVERLAND PARK, KS

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.

Highlighted states indicate IAR registrations

IAR
New Mexico
(7/6/2023)
IAR
Texas
(8/31/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/12/2018
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/4/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 34
Date: 1/22/2024
Retail Off-Exchange FOREX Examination
General Industry/Product Exam
RR
Series 3
Date: 1/12/2024
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/8/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/13/1992
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RF
RANDALL FINANCIAL LLC
RANDALL FINANCIAL LLC

CRD#: 325328 / SEC#:

New Mexico
Registered Investment Advisory firm - (6/22/2023 Approved)
Texas
Registered Investment Advisory firm - (8/31/2023 Conditional Restricted)
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Contact information

Main Address
Albuquerque, NM
Mailing Address
Phone number
(505) 207-2046
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts78
AUM (Assets Under Management)$ 13,603,424

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

RANDALL FINANCIAL LLC

CRD#: 325328Albuquerque, NM

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