Randall E. Smith
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.
Randall Eldor Smith, who also goes by Randy Smith, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1994. Randall had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2018 - January 10, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
April 20, 2015 - September 11, 2018
INVESTMENT PROFESSIONALS, INC.
October 26, 2012 - February 3, 2015
LADENBURG THALMANN & CO. INC.
November 17, 2008 - November 14, 2012
FINANCIAL WEST GROUP
September 16, 2008 - October 22, 2008
BONDS.COM LLC
September 18, 2003 - May 20, 2008
TRADEWEB DIRECT LLC
May 13, 2002 - September 15, 2003
ADVISORS ASSET MANAGEMENT, INC.
January 16, 2002 - March 7, 2002
UNITED SECURITIES ALLIANCE, INC.
March 29, 1999 - July 5, 2001
CHARLES SCHWAB & CO., INC.
November 26, 1997 - November 4, 1998
GLOBAL CAPITAL SECURITIES CORPORATION
July 10, 1997 - December 2, 1997
CHARLES SCHWAB & CO., INC.
October 21, 1994 - June 17, 1997
GLOBAL CAPITAL SECURITIES CORPORATION
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
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
Series 8
Date: 11/24/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 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.
