RR
Randall E. Riggins
KESTRA ADVISORY SERVICES
CHARLOTTE, NC 28211
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CRD#: 2451730
RR
Professional summary
Randall Elwood Riggins, who also goes by Randy Elwood Riggins, Randy Riggins, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Charlotte, North Carolina and KESTRA INVESTMENT SERVICES, LLC located in Charlotte, North Carolina.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Randall has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randy Elwood Riggins | Randy Riggins
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.
Business Name: NFP Corporate Service Southeast Investment Related: Yes Address: 1901 Roxborough Road; Suite 300 Charlotte NC 28211 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Director Start Date: 3/3/2017 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: DirectorBusiness Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services
CRS (Client Relationship Summary) - RIA
Click below to view Randall Elwood Riggins's 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®
NoneExperience
Current
April 18, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211RIA
CRD#: 283330
CHARLOTTE, NC
Current
December 1, 2010 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 1901 Roxborough Road Ste 300, Charlotte, NC 28211BD
CRD#: 42046
Charlotte, NC
Past
December 1, 2010 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
Charlotte, NC
Past
May 20, 2008 - November 29, 2010
NRP ADVISORS, INC.
RIA
CRD#: 141430
CHARLOTTE, NC
Past
May 20, 2008 - November 29, 2010
NRP FINANCIAL, INC.
BD
CRD#: 103717
CHARLOTTE, NC
Past
December 31, 2000 - May 20, 2008
OGILVIE SECURITY ADVISORS CORPORATION
RIA
CRD#: 10105
CHARLOTTE, NC
Past
June 4, 1996 - May 20, 2008
OGILVIE SECURITY ADVISORS CORPORATION
BD
CRD#: 10105
CHARLOTTE, NC
Past
March 2, 1994 - May 7, 1996
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(4/26/2022)
RR
California(12/1/2010)
RR
Delaware(12/1/2010)
RR
Florida(12/1/2010)
RR
Georgia(12/1/2010)
RR
Idaho(3/24/2025)
RR
Illinois(3/27/2012)
RR
Indiana(12/1/2010)
RR
Kansas(9/27/2013)
RR
Kentucky(7/18/2016)
RR
Maryland(12/1/2010)
RR
Massachusetts(4/1/2014)
RR
Michigan(9/12/2013)
RR
Minnesota(12/1/2010)
RR
Mississippi(1/2/2019)
RR
Missouri(12/1/2010)
RR
Montana(12/1/2010)
RR
New Jersey(1/4/2021)
RR
New York(3/24/2014)
RR
North Carolina(12/1/2010)
IAR
North Carolina(4/18/2016)
RR
Ohio(12/1/2010)
RR
Oregon(12/1/2010)
RR
Pennsylvania(12/1/2010)
RR
Rhode Island(9/11/2019)
RR
South Carolina(12/1/2010)
RR
Texas(12/1/2010)
IAR
Texas(7/27/2023)
RR
Utah(3/31/2020)
RR
Virginia(12/1/2010)
RR
Washington(2/20/2018)
RR
Wisconsin(1/2/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
