Randy F. Spivey
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.
Randy Franklin Spivey, who also goes by Randy Franklin Spiney, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1996. Randy had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2018 - December 24, 2021
CETERA INVESTMENT ADVISERS LLC
April 2, 2018 - December 24, 2021
CETERA INVESTMENT SERVICES LLC
July 22, 2009 - May 17, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
June 29, 2009 - May 17, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 27, 2008 - March 6, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 27, 2008 - March 6, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 26, 2007 - March 3, 2008
UST SECURITIES CORP.
June 27, 2006 - November 1, 2007
TRUIST INVESTMENT SERVICES, INC.
January 3, 2005 - November 1, 2007
TRUIST INVESTMENT SERVICES, INC.
January 12, 2004 - January 3, 2005
NCF FINANCIAL SERVICES, INC.
May 5, 1999 - April 26, 2002
JBS LIBERTY SECURITIES, INC.
January 1, 1996 - April 6, 1999
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
