Randal L. Golden
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 Lawrence Golden, AIF®, who also goes by Randal L Golden, Randal Golden, Randy Golden, was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 1993. Randal had worked at 6 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2017 - June 17, 2026
VIVALDI CAPITAL MANAGEMENT LP
February 9, 2005 - May 9, 2012
CENTRIC WEALTH MANAGEMENT, LLC
June 9, 1999 - February 7, 2005
MESIROW FINANCIAL, INC.
June 4, 1999 - February 7, 2005
MESIROW FINANCIAL, INC.
March 14, 1997 - July 7, 1999
WELLS FARGO CLEARING SERVICES, LLC
January 1, 1995 - March 25, 1997
AMERIPRISE ADVISOR SERVICES, INC.
August 4, 1993 - January 20, 1995
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
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
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 07/22/2024 | ||
| 10/24/2023 |
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.
