Randall P. Sanada
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CRD#: 409938
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.
Randall Paul Sanada, CFP® was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1973. Randall had worked at 5 firms and has passed the Series 63, Series 7TO, Series 99TO, SIE, Series 1 and Series 24 exams.
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.
1. Alliance Enrust
Investment Related: No
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Financial Planning, Financial Independence/Retirement Planning, Tax Review, Risk Management Review, Business consulting and accounting services
Position: CEO of Parent Company (Alliance Financial Group, Inc.)/Manager
Start Date: March 2011 (since inception)
Hours/Month: 80
Hours/Month during trading hours: 80
Description of duties: Financial Planning, Financial Independence/Retirement Planning, Tax Review, Risk Management Review, Business consulting and accounting services
2. ABLP Management, LLC
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio and Management of Commercial Real Estate Loans
Position: CEO of Managing Company (Alliance Financial Group, Inc.)/Manager
Start Date: November 2012 (since inception)
Hours/Month: 12
Hours/Month during trading hours: 12
Description of duties: Oversight of loan approvals, marketing, and management
3. RESOP, LLC
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio and Management of Self Storage Facilities
Position: CEO of Managing Company (Alliance Financial Group, Inc.)/Manager
Start Date: 1998 (since inception)
Hours/Month: 10
Hours/Month during trading hours: 10
Description of duties: Oversight of new property acquisitions, marketing, and management
4. Stable Value Portfolio, LP
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio of income producing securities
Position: CEO of General Partner (Alliance Financial Group, Inc.)/Manager
Start Date: June 2005 (since inception)
Hours/Month: 2
Hours/Month during trading hours: 2
Description of duties: Oversight and Management
5. Alternative Investment Portfolio, LP
Investment Related: Yes
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Portfolio of Real Estate properties and other Limited Partnerships
Position: CEO of General Partner (Alliance Financial Group, Inc.)/Manager
Start Date: August 2005 (since inception)
Hours/Month: 5
Hours/Month during trading hours: 3
Description of duties: Oversight and Management
6. Westlake Professional Building Partners, LLC
Investment Related: No
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Management of Owner occupied building
Position: CEO of Parent Company (Alliance Financial Group, Inc.)/Manager
Start Date: 1998 (since inception)
Hours/Month: 2
Hours/Month during trading hours: 0
Description of duties: Management and oversight of the owner occupied building
7. Randall P. Sanada, CFP, LLC
Investment Related: No
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Created for accounting purposes
Position: CEO of Parent Company (Alliance Financial Group, Inc.)
Start Date: 2015 (since inception)
Hours/Month: <1
Hours/Month during trading hours: <1
Description of duties: Created for accounting purposes
8. Jet-Alliance, Inc.
Investment Related: No
Address: 3390 Auto Mall Drive, Westlake Village, CA, 91362
Business Nature: Management of Fractional Aircraft ownership
Position: CEO of Managing Company (Alliance Financial Group, Inc.) & President
Start Date: 2000 (since inception)
Hours/Month: 10
Hours/Month during trading hours: 1
Description of duties: Management and oversight of aircraft acquisition and disposition, and management of aircraft. Currently in the process of winding down the business
9. Christian Foundation of the West: Member - Board of Directors of Charitable Organization since 2004
10. Kingdom Centers: Board Member of Charitable Organization for transitional housing for homeless since 2010
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®
CFP®
Start date: 1984
Experience
Past
July 8, 1997 - March 17, 2023
ALLIANCE ADVISORY & SECURITIES, INC.
RIA
CRD#: 18835
WESTLAKE VILLAGE, CA
Past
April 26, 1991 - August 23, 2021
ALLIANCE ADVISORY & SECURITIES, INC.
BD
CRD#: 18835
WESTLAKE VILLAGE, CA
Past
October 5, 1987 - May 20, 1991
DREHER & ASSOCIATES, INC.
BD
CRD#: 8665
OAKBROOK TERRACE, IL
Past
January 4, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
January 4, 1973 - December 14, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Past
January 4, 1973 - December 15, 1987
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ALLIANCE ADVISORY & SECURITIES, INC.
ALLIANCE ADVISORY & SECURITIES, INC | PETRA FINANCIAL GROUP, INC. | DEVOTED CAPITAL | ALLIANCE ENTRUST, INC. | ALLIANCE ENTRUST | ALLIANCE ADVISORY & SECURITIES, LLC | ALLIANCE ADVISORY & SECURITIES, INC.
CRD#: 18835 / SEC#: 801-67105, 8-36999
RIA
Registered Investment Advisory firm - SEC (9/5/2006 Approved)California
Registered Investment Advisory firm - SEC (9/11/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (9/5/2006 Terminated)BD
Terminated by SEC on 08/22/2021
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
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/26/1972
Registered Representative ExaminationPrincipal/Supervisory Exam
Current Firm
AA
ALLIANCE ADVISORY & SECURITIES, INC.
ALLIANCE ADVISORY & SECURITIES, INC | PETRA FINANCIAL GROUP, INC. | DEVOTED CAPITAL | ALLIANCE ENTRUST, INC. | ALLIANCE ENTRUST | ALLIANCE ADVISORY & SECURITIES, LLC | ALLIANCE ADVISORY & SECURITIES, INC.
CRD#: 18835 / SEC#: 801-67105, 8-36999
RIA
Registered Investment Advisory firm - SEC (9/5/2006 Approved)California
Registered Investment Advisory firm - SEC (9/11/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (9/5/2006 Terminated)BD
Terminated by SEC on 08/22/2021
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Contact information
Main Address
31248 E. Oak Crest Drive Ste 100, Westlake Village, CA 91361
Mailing Address
Phone number
(805) 371-8020
Established
California since 05/12/1982
Firm type
Corporation
Fiscal year end
June
# of Employees
25
SEC notice filing (11 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,728 |
| AUM (Assets Under Management) | $ 639,384,881 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
