Randal D. Profitt
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.
Randal David Profitt, who also goes by David Profitt, was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1992. Randal had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2013 - April 15, 2014
ALPHAMARK ADVISORS, LLC
June 8, 2010 - November 4, 2011
CSSC BROKERAGE SERVICES, INC.
April 26, 2010 - November 4, 2011
TRUSTEE EMPOWERMENT & PROTECTION, INC.
August 26, 2008 - October 28, 2008
CETERA WEALTH SERVICES, LLC
August 25, 2008 - October 28, 2008
CETERA WEALTH SERVICES, LLC
July 30, 2008 - August 20, 2008
EQUITABLE ADVISORS, LLC
July 30, 2008 - August 20, 2008
EQUITABLE ADVISORS, LLC
July 25, 2007 - May 30, 2008
UBS ASSET MANAGEMENT (US) INC.
July 25, 2007 - May 30, 2008
UBS ASSET MANAGEMENT (US) INC.
March 13, 2007 - July 26, 2007
UBS FINANCIAL SERVICES INC.
March 5, 2007 - July 26, 2007
UBS FINANCIAL SERVICES INC.
August 21, 1998 - October 29, 1999
PNC BROKERAGE CORP
September 22, 1994 - February 28, 1995
MML INVESTORS SERVICES, LLC
August 18, 1992 - September 22, 1994
MORGAN STANLEY DW INC.
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
ALPHAMARK ADVISORS, LLC
CRD#: 109366 / SEC#: 801-58156
Contact information
Regulatory assets under management
| Total Number of Accounts | 446 |
| AUM (Assets Under Management) | $ 405,760,183 |
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.
