Randy M. Coleman
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 Melear Coleman was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1996. Randy had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2013 - June 3, 2025
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - June 3, 2025
RAYMOND JAMES & ASSOCIATES, INC.
September 5, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
September 2, 2008 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
September 18, 2007 - October 7, 2008
AMERIPRISE ADVISOR SERVICES, INC.
July 18, 2007 - October 7, 2008
AMERIPRISE ADVISOR SERVICES, INC.
November 27, 2006 - July 31, 2007
FIFTH THIRD SECURITIES, INC.
November 3, 2006 - July 31, 2007
FIFTH THIRD SECURITIES, INC.
May 8, 2006 - August 22, 2006
INVEST FINANCIAL CORPORATION
April 24, 2006 - August 22, 2006
INVEST FINANCIAL CORPORATION
June 19, 2001 - January 20, 2006
TRUIST INVESTMENT SERVICES, INC.
June 19, 2001 - January 20, 2006
TRUIST INVESTMENT SERVICES, INC.
August 15, 2000 - June 18, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 9, 1999 - August 23, 2000
TRUIST INVESTMENT SERVICES, INC.
November 20, 1996 - March 8, 1999
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
Company Information
RAYMOND JAMES & ASSOCIATES, INC.
Financial AdvisorCRD#: 705TRUST BUT VERIFY
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