Randall P. Smith

WORLD EQUITY GROUP

Fresno, CA 93730

Some features on this profile are disabled

CRD#: 2595035

Professional summary

Randall Patrick Smith is a registered financial professional currently at WORLD EQUITY GROUP, INC. located in Fresno, California.

Randall is registered as a RR (Registered Representative) and started their career in finance in 1995. Randall has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Smith'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

January 12, 2018 - Present

WORLD EQUITY GROUP, INC.

Office #1: 9477 N. Fort Washington Suite 102, Fresno, CA 93730

RIA

CRD#: 29087

Fresno, CA

Past

July 3, 2013 - January 22, 2016

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CLOVIS, CA

Past

November 1, 2001 - September 21, 2011

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

FRESNO, CA

Past

June 19, 1996 - November 1, 2001

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

July 7, 1995 - May 24, 1996

QUEST SECURITIES, INC.

CRD#: 6828

FAIR OAKS, CA

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".

WORLD EQUITY GROUP, INC.

CRD#: 29087 / SEC#: 801-56328, 8-44088

RIA

Registered Investment Advisory firm - SEC (3/26/1999 Approved)

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

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

California
(1/12/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/6/1995

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: 7/6/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

WORLD EQUITY GROUP, INC.

CRD#: 29087 / SEC#: 801-56328, 8-44088

RIA

Registered Investment Advisory firm - SEC (3/26/1999 Approved)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

425 N Martingale Road Suite 1220, Schaumburg, IL 60173

Mailing Address

425 N Martingale Road Suite 1200, Schaumburg, IL 60173

Phone number

(847) 342-1700

Established

Illinois since 09/13/1991

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

170

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ADHESION PROGRAM WRAP FEE BROCHURE (5/20/2025)

WORLD EQUITY GROUP ADV PART II (5/20/2025)

REP MANAGER PROGRAM WRAP FEE BROCHURE (5/20/2025)

Direct owners and executive officers

Name	Position	CRD#
WENTWORTH MANAGEMENT SERVICES, LLC	OWNER
DUDAS, STEPHEN STANLEY	PRESIDENT	4820047
GOULD, CRAIG MICHAEL	CHIEF EXECUTIVE OFFICER	2367293
LISHCHYNSKY, MARK JOHN JR	CHIEF OPERATING OFFICER	2478952
WEBB, WILLIAM DUDLEY JR	CHIEF COMPLIANCE OFFICER	1256777

Regulatory assets under management

Total Number of Accounts	3,151
AUM (Assets Under Management)	$ 944,844,374

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Sandy Giglio

INNOVATION PARTNERS LLC

Charlotte, NC

Emerlyn Gopez

WELLS FARGO CLEARING SERVICES, LLC

ST. LOUIS, MO

Kyle Jones

COOPER MCMANUS

IAR

Culver City, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Randall P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

QUEST SECURITIES, INC.

Primary Firm SEC Registration

WORLD EQUITY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/1995

SIE

Date: 10/1/2018

Series 6

Date: 7/6/1995

FINRA

Current Firm

WORLD EQUITY GROUP, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

WORLD EQUITY GROUP, INC.

TRUST BUT VERIFY

Similar Advisors