Randall Craig Buck | Financial Professional | Seattle, Washington

Professional summary

Randall Craig Buck, who also goes by Randall Buck, is a registered financial advisor currently at THE INSTITUTE located in Seattle, Washington.

Randall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Randall has worked at 5 firms and has passed the Series 65 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randall Buck

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 Randall Craig Buck's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 10, 2019 - Present

THE INSTITUTE

Office #1: 4020 E Madison St Suite 210, Seattle, WA 98112

RIA

CRD#: 127207

Seattle, WA

Past

February 6, 2017 - April 30, 2019

INSTITUTE FOR WEALTH ADVISORS, INC.

RIA

CRD#: 149347

Seattle, WA

Past

March 7, 2014 - December 31, 2017

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

BELLEVUE, WA

Past

January 24, 2011 - October 22, 2013

COLDSTREAM WEALTH MANAGEMENT

RIA

CRD#: 108805

BELLEVUE, WA

Past

October 6, 2009 - February 17, 2011

APPROPRIATE BALANCE FINANCIAL SERVICES INC

RIA

CRD#: 105458

BELLEVUE, WA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Washington
(5/10/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/1/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

RR

Series 3

Date: 12/3/1992

National Commodity Futures Examination

Current Firm

TI

THE INSTITUTE

CRD#: 127207 / SEC#: 801-67624

RIA

Registered Investment Advisory firm - (3/7/2007 Approved)

Colorado

Registered Investment Advisory firm - (4/3/2007 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

9878 W. Belleview Ave. #2306, Denver, CO 80123

Mailing Address

Phone number

(303) 572-3500

Established

Firm type

Fiscal year end

# of Employees

5

SEC notice filing (23 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THE INSTITUTE 2A (6/23/2025)

Regulatory assets under management

Total Number of Accounts	1,848
AUM (Assets Under Management)	$ 1,154,643,475

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.

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Firm Stability Insights

Randall C. Buck

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Craig Buck's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE INSTITUTE

INSTITUTE FOR WEALTH ADVISORS, INC.

CONCERT WEALTH MANAGEMENT

COLDSTREAM WEALTH MANAGEMENT

APPROPRIATE BALANCE FINANCIAL SERVICES INC

Primary Firm SEC Registration

THE INSTITUTE

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/2002

Series 3

Date: 12/3/1992

Current Firm

THE INSTITUTE

Contact information

SEC notice filing (23 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE INSTITUTE

TRUST BUT VERIFY

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