Randy J. Melancon
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.
Randy Jude Melancon was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1993. Randy had worked at 12 firms and has passed the 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
December 10, 2014 - February 4, 2015
CETERA INVESTMENT ADVISERS LLC
December 10, 2014 - February 4, 2015
CETERA INVESTMENT SERVICES LLC
February 28, 2014 - December 26, 2014
LPL FINANCIAL LLC
February 28, 2014 - December 26, 2014
LPL FINANCIAL LLC
May 16, 2013 - March 3, 2014
BBVA SECURITIES INC.
October 2, 2012 - March 3, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
October 1, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 1, 2011 - September 19, 2012
OSAIC WEALTH, INC.
October 10, 2011 - September 19, 2012
OSAIC WEALTH, INC.
September 13, 2010 - November 30, 2011
FMSA
June 22, 2001 - August 22, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 1, 1999 - July 14, 1999
TALBOT FINANCIAL SERVICES, INC.
December 7, 1998 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
June 28, 1993 - June 25, 1997
CAPITAL BROKERAGE CORPORATION
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
