Boyce D. Randolph
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.
Boyce Dale Randolph II, who also goes by Randy Randolph, was a registered financial professional .
Boyce is a previously registered financial professional and started their career in finance in 1992. Boyce had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2014 - December 3, 2014
CENTAURUS FINANCIAL, INC.
July 18, 2012 - March 5, 2013
EQUITABLE ADVISORS, LLC
January 24, 2011 - June 3, 2011
SECURITIES SERVICE NETWORK, LLC
January 19, 2007 - January 30, 2009
CETERA INVESTMENT SERVICES LLC
January 17, 2007 - January 30, 2009
CETERA INVESTMENT SERVICES LLC
September 5, 2006 - January 11, 2007
BANCWEST INVESTMENT SERVICES, INC.
August 12, 2006 - January 11, 2007
BANCWEST INVESTMENT SERVICES, INC.
April 5, 2006 - August 12, 2006
INVEST FINANCIAL CORPORATION
April 3, 2006 - August 12, 2006
INVEST FINANCIAL CORPORATION
July 6, 2005 - March 1, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - March 1, 2006
CHASE INVESTMENT SERVICES CORP.
June 21, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 17, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 17, 2004 - June 21, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 13, 2004 - June 21, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1999 - January 2, 2004
CUE FINANCIAL GROUP, INC.
September 28, 1992 - March 12, 1999
OFG FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
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
CENTAURUS FINANCIAL, INC.
CRD#: 30833 / SEC#: 801-56882, 8-45185
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEDERATION OF FINANCIAL SERVICES | OWNER | |
| KREMER, STEPHEN MARK | OWNER | 1188829 |
| RUBINO, MICHAEL PETER | OWNER | 1188940 |
| DUHOVIC, JEROME VICTOR | DIRECTOR/EVP/CHIEF ADMINISTRATIVE OFFICER | 2123754 |
| DUHOVIC, JEROME VICTOR | CHIEF COMPLIANCE OFFICER | 2123754 |
| KING, JAMES RONALD SR | DIRECTOR/CHAIRMAN OF THE BOARD/CEO | 269927 |
| KING, PAUL J | DIRECTOR/GENERAL COUNSEL | 5017845 |
| KING, WESTLEY HAYES | DIRECTOR/PRESIDENT | 2527676 |
| LEJMAN, SHERI J | CFO/SVP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER |
Regulatory assets under management
| Total Number of Accounts | 38,049 |
| AUM (Assets Under Management) | $ 7,336,108,151 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 8 |
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.
