Randolph G. Richmond
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.
Randolph George Richmond, who also goes by Randolph G Richmond, Randy Richmond, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1996. Randolph had worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 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
April 16, 2012 - August 15, 2012
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 13, 2012 - August 15, 2012
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 7, 2011 - April 18, 2012
CEROS FINANCIAL SERVICES, INC.
September 4, 2008 - December 31, 2012
CROSSWIND ADVISORY LLC
July 25, 2005 - December 31, 2009
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 6, 2005 - September 30, 2011
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 1, 2003 - July 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - July 7, 2005
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
August 29, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 20, 1996 - December 20, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
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.
