Randal C. Stratford
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.
Randal Clark Stratford, CFP®, who also goes by Randy Stratford, was a registered financial professional .
Randal is a previously registered financial professional and started their career in finance in 2001. Randal had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2012
Experience
November 7, 2016 - July 2, 2018
INDEPENDENT FINANCIAL GROUP, LLC
October 14, 2016 - July 2, 2018
INDEPENDENT FINANCIAL GROUP, LLC
May 20, 2014 - December 2, 2014
MSC - BD, LLC
May 25, 2010 - May 30, 2012
U.S. BANCORP INVESTMENTS, INC.
May 20, 2010 - May 30, 2012
U.S. BANCORP INVESTMENTS, INC.
May 2, 2009 - May 20, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - May 20, 2010
CHASE INVESTMENT SERVICES CORP.
May 12, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
May 12, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
April 16, 2008 - May 12, 2008
SIGNATOR FINANCIAL SERVICES, INC.
January 30, 2008 - May 12, 2008
SIGNATOR FINANCIAL SERVICES, INC.
May 22, 2001 - August 28, 2002
SPRINGBOARD SECURITIES, INC.
Primary Firm SEC Registration
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
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
INDEPENDENT FINANCIAL GROUP, LLC
CRD#: 7717 / SEC#: 801-62667, 8-22870
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 1 |
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.
