Randy J. Farina
Professional summary
Randy James Farina is a registered financial advisor currently at EXENCIAL WEALTH ADVISORS located in Huntersville, North Carolina.
Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Randy has worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Randy James Farina's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 12, 2020 - Present
EXENCIAL WEALTH ADVISORS
Office #1: 13801 Reese Boulevard West Suite 155, Huntersville, NC 28078May 12, 1995 - April 16, 1997
INVESTORS CAPITAL CORP.
Primary Firm SEC Registration
EXENCIAL WEALTH ADVISORS
CRD#: 130475 / SEC#: 801-62789
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/12/2020)
(1/4/2021)
(10/12/2020)
(10/12/2020)
(10/12/2020)
Exams
Current Firm
EXENCIAL WEALTH ADVISORS
CRD#: 130475 / SEC#: 801-62789
Contact information
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,357 |
| AUM (Assets Under Management) | $ 5,301,377,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | ||
| 08/27/2024 | ||
| 11/20/2023 |
Red Flags
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