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Randall W. Fontes

CAPITALA SECURITIES
Atlanta, GA 30305
Some features on this profile are disabled
CRD#: 2769932
RF

Professional summary

Randall Wilson Fontes is a registered financial professional currently at CAPITALA SECURITIES, LLC located in Atlanta, Georgia.

Randall is registered as a RR (Registered Representative) and started their career in finance in 2000. Randall has worked at 7 firms and has passed the Series 63, Series 7TO and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Wilson Fontes's 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

June 24, 2022 - Present

CAPITALA SECURITIES, LLC

Office #1: 3060 Peachtree Rd Nw Suite 1830, Atlanta, GA 30305
BD
CRD#: 304095
Atlanta, GA
Past

February 20, 2014 - December 4, 2014

BEDMINSTER FINANCIAL GROUP, LIMITED

BD
CRD#: 39916
HOLICONG, PA
Past

February 1, 2011 - February 15, 2012

PIERPONT CAPITAL ADVISORS LLC

BD
CRD#: 108424
ATLANTA, GA
Past

January 20, 2010 - February 22, 2011

CROFT & BENDER, LP

BD
CRD#: 46680
ATLANTA, GA
Past

August 21, 2007 - January 14, 2008

URCHIN CAPITAL PARTNERS, LLC

BD
CRD#: 45691
SAN FRANCISCO, CA
Past

September 16, 2003 - June 5, 2006

SPP CAPITAL PARTNERS L L C

BD
CRD#: 38103
NEW YORK, NY
Past

September 8, 2000 - May 18, 2001

KPMG CORPORATE FINANCE LLC

BD
CRD#: 103973
CHICAGO, IL

State Registrations and Notice Filings

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

RR
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

RR
Georgia
(7/21/2022)
RR
Massachusetts
(9/23/2024)
RR
North Carolina
(7/20/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/18/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/23/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 6/23/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CAPITALA SECURITIES, LLC
CAPITALA SECURITIES, LLC

CRD#: 304095 / SEC#: , 8-70342

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Mailing Address
4201 Congress Street Suite 360c, Charlotte, NC 28209
Phone number
(704) 790-1666
Established
Delaware since 06/29/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CAPITALA SECURITIES HOLDING CORP.OWNER AND SOLE MEMBER
ALALA, CHRISTINE LEVETTPRESIDENT5723934
COSIO, ROMMELCHIEF COMPLIANCE OFFICER2017788
THORNTON, STEVEN LEEFINOP, CFO4496384

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

CAPITALA SECURITIES, LLC

CRD#: 304095Atlanta, GA 30305

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