Randy R. Grose
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 Russell Grose, AIF®, who also goes by Randy R Grose, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1995. Randy had worked at 16 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2025 - December 3, 2025
CETERA INVESTMENT ADVISERS LLC
May 1, 2025 - December 3, 2025
CETERA WEALTH SERVICES, LLC
July 4, 2022 - June 23, 2023
GLOBAL RETIREMENT PARTNERS LLC
August 15, 2017 - October 25, 2022
SHERIDAN ROAD ADVISORS, LLC, A HUB INTERNATIONAL COMPANY
January 9, 2017 - December 31, 2018
INDEPENDENT FINANCIAL PARTNERS
October 31, 2011 - July 5, 2023
LPL FINANCIAL LLC
October 31, 2011 - July 5, 2023
LPL FINANCIAL LLC
July 25, 2005 - October 31, 2011
PRINCIPAL SECURITIES, INC.
June 1, 2005 - October 31, 2011
PRINCIPAL SECURITIES, INC.
June 3, 2004 - September 22, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 27, 2004 - September 22, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 25, 2002 - January 6, 2004
GBS RETIREMENT SERVICES, INC.
January 24, 2001 - October 23, 2002
STANCORP INVESTMENT ADVISERS, INC.
May 19, 1997 - October 22, 2002
SUNAMERICA SECURITIES, INC.
November 1, 1996 - November 4, 1996
OSAIC WEALTH, INC.
March 25, 1996 - June 3, 1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 25, 1996 - June 3, 1997
EQUITABLE ADVISORS, LLC
December 13, 1995 - January 30, 1996
IDS LIFE INSURANCE COMPANY
December 13, 1995 - January 30, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
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 |
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.
