Randall N. Smith
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 Nolen Smith, CFP®, who also goes by Randy Smith, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1970. Randall had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2021 - December 31, 2025
WESTBOURNE INVESTMENTS, INC.
December 19, 2014 - December 31, 2020
COLONY PARK FINANCIAL SERVICES LLC.
June 24, 2013 - December 1, 2014
SANDLAPPER WEALTH MANAGEMENT, LLC
September 2, 2011 - November 15, 2019
SANDLAPPER SECURITIES, LLC
February 7, 2011 - August 22, 2011
CAPWEST SECURITIES, INC.
May 20, 2003 - February 1, 2011
ITA FINANCIAL SERVICES, LLC
October 27, 1995 - February 26, 2003
VOSS & CO., INC.
March 1, 1995 - October 18, 1995
IFG NETWORK SECURITIES, INC.
November 21, 1994 - February 27, 1995
VOSS & CO., INC.
May 1, 1992 - October 26, 1994
IFG NETWORK SECURITIES, INC.
February 2, 1974 - July 6, 1992
DERAND/PENNINGTON/BASS, INC.
July 13, 1970 - April 26, 1971
MAGNUS SECURITIES CORPORATION
Primary Firm SEC Registration
WESTBOURNE INVESTMENTS, INC.
CRD#: 37499 / SEC#: 801-36800, 8-47779
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
Series 1
Date: 9/25/1969
Registered Representative ExaminationSeries 00
Date: 11/11/1970
General Securities Principal ExaminationCurrent Firm
WESTBOURNE INVESTMENTS, INC.
CRD#: 37499 / SEC#: 801-36800, 8-47779
Contact information
SEC notice filing (9 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WESTBOURNE ASSOCIATES, INC. | CORPORATION | |
| GOODWYN, WILFRED LACY | CHAIRMAN & CEO & CHIEF COMPLIANCE OFFICER | 225538 |
Regulatory assets under management
| Total Number of Accounts | 445 |
| AUM (Assets Under Management) | $ 221,087,393 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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