Randolph R. Toledo
Professional summary
Randolph Rudy Toledo, who also goes by Randolph R Toledo, Randolph Rudy Toledo, Randy R Toledo, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in San Diego, California and CETERA ADVISORS LLC located in San Diego, California.
Randolph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Randolph has worked at 9 firms and has passed the Series 66, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Randolph Rudy Toledo's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 12, 2020 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101May 4, 2022 - Present
CETERA ADVISORS LLC
Office #1: 655 W Broadway 12th Fl, San Diego, CA 92101December 11, 2013 - November 12, 2020
FIRST ALLIED ADVISORY SERVICES, INC.
December 11, 2013 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
December 5, 2006 - December 17, 2013
LPL FINANCIAL LLC
December 5, 2006 - December 17, 2013
LPL FINANCIAL LLC
November 1, 2006 - November 10, 2006
CUSO FINANCIAL SERVICES, L.P.
November 1, 2006 - November 10, 2006
CUSO FINANCIAL SERVICES, L.P.
May 9, 2005 - May 2, 2006
SECU BROKERAGE SERVICES
May 9, 2005 - May 2, 2006
SECU BROKERAGE SERVICES
August 3, 2004 - May 9, 2005
MML INVESTORS SERVICES, LLC
April 23, 2004 - April 28, 2004
MORGAN STANLEY DW INC.
April 23, 2004 - April 28, 2004
MORGAN STANLEY DW INC.
May 5, 2003 - April 16, 2004
LPL FINANCIAL LLC
February 6, 2003 - April 16, 2004
LPL FINANCIAL LLC
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
