Randolph L. Knavel
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 Lawrence Knavel, who also goes by Randolph Lawrence Knavel, Randy Lawrence Knavel, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1999. Randolph had worked at 4 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2018 - July 31, 2023
ADVISER ALLIANCE, LLC
March 7, 2017 - September 20, 2017
ONPOINTE ADVISORY AND FINANCIAL SERVICES, LLC
July 3, 2013 - September 30, 2014
PRUCO SECURITIES, LLC.
September 10, 1999 - August 14, 2001
USALLIANZ SECURITIES, INC.
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
ADVISER ALLIANCE, LLC
CRD#: 287551 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 33 |
| AUM (Assets Under Management) | $ 6,567,155 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
