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Randy C. Fox

Some features on this profile are disabled
CRD#: 2726566
RF
Randy Cleve Fox

Professional summary

Randy Cleve Fox was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Randy Cleve Fox, who also goes by Randy Fox, 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 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 39 exams.

Aliases

Randy Fox

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 30, 2023 - April 17, 2024

GT INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 325619
San Francisco, CA
Past

January 30, 2023 - April 17, 2024

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA
Past

February 26, 2020 - December 31, 2022

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
ATLANTA, GA
Past

August 2, 2018 - November 21, 2018

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
San Francisco, CA
Past

April 3, 2007 - July 6, 2018

ATEL SECURITIES CORPORATION

BD
CRD#: 17229
San Francisco, CA
Past

November 9, 2006 - March 1, 2007

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
SAN FRANCISCO, CA
Past

March 16, 2005 - September 27, 2006

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
SAN FRANCISCO, CA
Past

March 16, 2005 - September 27, 2006

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
SAN FRANCISCO, CA
Past

August 23, 2004 - March 8, 2005

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
SAN FRANCISCO, CA
Past

August 23, 2004 - March 8, 2005

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

February 12, 2004 - August 10, 2004

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
SAN FRANCISCO, CA
Past

February 11, 2003 - August 10, 2004

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

February 6, 2002 - February 13, 2003

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

June 5, 2001 - September 20, 2001

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

March 29, 1996 - April 9, 2001

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
SAN MATEO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/15/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/4/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/30/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/26/1996
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/5/2020
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 39
Date: 8/6/2008
Direct Participation Programs Principal Examination

Current Firm

GI
GT INVESTMENT MANAGEMENT, LLC
GT INVESTMENT MANAGEMENT, LLC

CRD#: 325619 / SEC#: 801-134784

Arizona
Registered Investment Advisory firm - (8/16/2024 Approved)
California
Registered Investment Advisory firm - (6/30/2023 Approved)
Delaware
Registered Investment Advisory firm - (8/7/2025 Approved)
Florida
Registered Investment Advisory firm - (12/16/2024 Approved)
Idaho
Registered Investment Advisory firm - (10/3/2025 Approved)
Michigan
Registered Investment Advisory firm - (9/11/2025 Approved)
Nevada
Registered Investment Advisory firm - (9/12/2025 Approved)
New York
Registered Investment Advisory firm - (5/29/2024 Approved)
North Carolina
Registered Investment Advisory firm - (3/26/2024 Approved)
North Dakota
Registered Investment Advisory firm - (10/16/2025 Approved)
Ohio
Registered Investment Advisory firm - (3/25/2024 Approved)
Oregon
Registered Investment Advisory firm - (10/17/2025 Approved)
South Dakota
Registered Investment Advisory firm - (10/9/2025 Approved)
Tennessee
Registered Investment Advisory firm - (9/17/2025 Approved)
Texas
Registered Investment Advisory firm - (5/20/2024 Conditional Restricted)
Wyoming
Registered Investment Advisory firm - (10/9/2025 Approved)
Loading...

Contact information

Main Address
12130 Millennium Drive Suite 300, Los Angeles, CA 90094
Mailing Address
Phone number
(310) 954-2013
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

GT INVESTMENT MANAGEMENT, LLC ADV PART 2A (9/13/2025)
GEOFF SOKOL ADV PART 2B - BROCHURE SUPPLEMENT (8/19/2024)
MAYUKO HAMAZAKI ADV PART 2B - BROCHURE SUPPLEMENT (8/19/2024)
JAMES TURO SUPPLEMENTAL BROCHURE ADV PART 2B (8/1/2024)

Regulatory assets under management

Total Number of Accounts30
AUM (Assets Under Management)$ 5,500,000

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.

Company Information

GT INVESTMENT MANAGEMENT, LLC

CRD#: 325619

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