Randall P. Rowray

CAPFINANCIAL SECURITIES.

West Des Moines, IA 50266

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CRD#: 2530550

Professional summary

Randall Patrick Rowray, who also goes by Randy P Rowray, Randy Patrick Rowray, is a registered financial professional currently at CAPFINANCIAL SECURITIES, LLC. located in West Des Moines, Iowa.

Randall is registered as a RR (Registered Representative) and started their career in finance in 1995. Randall has worked at 7 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Randy P Rowray | Randy Patrick Rowray

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) - BD

Click below to view Randall Patrick Rowray'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

October 7, 2025 - Present

CAPFINANCIAL SECURITIES, LLC.

Office #1: 5745 Raccoon River Drive Suite 160, West Des Moines, IA 50266

CRD#: 126291

West Des Moines, IA

Past

January 3, 2017 - September 15, 2025

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

October 30, 2014 - December 31, 2016

OSAIC SERVICES, INC.

CRD#: 133763

WEST DES MOINES, IA

Past

January 20, 2010 - October 27, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

W. DES MOINES, IA

Past

January 1, 2005 - December 31, 2009

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WEST DES MOINES, IA

Past

May 19, 1999 - January 1, 2005

INTERLINK SECURITIES CORP.

CRD#: 30505

WOODLAND HILLS, CA

Past

August 7, 1995 - April 29, 1999

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Iowa
(10/7/2025)

Exams

State Security Law Exam

Series 63

Date: 8/17/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/4/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

CRD#: 126291 / SEC#: , 8-65870

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Mailing Address

4208 Six Forks Road, Suite 1700, Raleigh, NC 27609

Phone number

(919) 870-6822

Established

North Carolina since 11/21/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

Direct owners and executive officers

Name	Position	CRD#
THE CAPFINANCIAL GROUP, LLC	MEMBER
BUCHANAN, DENISE MCGEE	CCO/MUNI PRINCIPAL/SENIOR DIRECTOR/FINOP/PFO/POO	1284353
EARLS, MARY CHRISTINE	SENIOR DIRECTOR/FINOP	6178047
HOYLE, WILSON SMITH III	MANAGING DIRECTOR	2444392
SHOFF, DERICK DON	MANAGING DIRECTOR	1140640
STROTHER, MICHAEL DAVID	SENIOR DIRECTOR, FINOP	2457427

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Randall P. Rowray

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Randall Patrick Rowray's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

OSAIC SERVICES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

INTERLINK SECURITIES CORP.

LOCUST STREET SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/1999

SIE

Date: 10/1/2018

Series 6

Date: 8/4/1995

FINRA

Current Firm

CAPFINANCIAL SECURITIES, LLC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPFINANCIAL SECURITIES, LLC.

TRUST BUT VERIFY

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