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Randal David Profitt

CRD# 2259747·Registered 1992 - 2014
Previously Registered: Being a previously registered professional could mean that Randal 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

Randal David Profitt, who also goes by David Profitt, was a registered financial advisor. Randal was a previously registered financial professional and started their career in finance 1992 - 2014. Randal had worked at 10 firms and has passed the Series 66, Series 63, Series 7 and Series 3 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

David Profitt

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

34 years in the financial services industry

Current & Past Employments

ALPHAMARK ADVISORS, LLC·CRD# 109366
RIA
Ft. Mitchell, KY
October 23, 2013 - April 15, 2014
CSSC BROKERAGE SERVICES, INC.·CRD# 141630
BD
Union, KY
June 8, 2010 - November 4, 2011
TRUSTEE EMPOWERMENT & PROTECTION, INC.·CRD# 108249
RIA
Union, KY
April 26, 2010 - November 4, 2011
CETERA WEALTH SERVICES, LLC·CRD# 13572
RIA
Union, KY
August 26, 2008 - October 28, 2008
CETERA WEALTH SERVICES, LLC·CRD# 13572
BD
El Segundo, CA
August 25, 2008 - October 28, 2008
EQUITABLE ADVISORS, LLC·CRD# 6627
RIA
Cincinnati, OH
July 30, 2008 - August 20, 2008
EQUITABLE ADVISORS, LLC·CRD# 6627
BD
Cincinnati, OH
July 30, 2008 - August 20, 2008
UBS ASSET MANAGEMENT (US) INC.·CRD# 583
RIA
Washington, DC
July 25, 2007 - May 30, 2008
UBS ASSET MANAGEMENT (US) INC.·CRD# 583
BD
Washington, DC
July 25, 2007 - May 30, 2008
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Cincinnati, OH
March 13, 2007 - July 26, 2007
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Cincinnati, OH
March 5, 2007 - July 26, 2007
PNC BROKERAGE CORP·CRD# 34671
BD
Pittsburgh, PA
August 21, 1998 - October 29, 1999
MML INVESTORS SERVICES, LLC·CRD# 10409
BD
Springfield, MA
September 22, 1994 - February 28, 1995
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
August 18, 1992 - September 22, 1994

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Current Firm

AA
ALPHAMARK ADVISORS, LLC

ALPHAMARK ADVISORS | WEALTH ADVISORS OF CINCINNATI, LLC | ALPHAMARK ADVISORS, LLC

CRD#: 109366 / SEC#: 801-58156

Contact Information

Main Address

810 Wright's Summit Parkway, Suite 100, Ft. Wright, KY 41011

Phone Number

(859) 957-1803

# of Employees

5

Documents

Latest Form ADV

Part 2 Brochures

PART2A & B OF FORM ADV (3/5/2025)

Regulatory Assets Under Management

Total Number of Accounts

446

AUM (Assets Under Management)

$405,760,183

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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 66 — Uniform Combined State Law Examination

Passed Mar 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1998About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Mar 2007About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Feb 1993About the Series 3 exam

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CRS (Client Relationship Summary)

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

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