Daniella R. Rand

RAND GROUP FINANCIAL

San Francisco, CA

CRD#: 4321414

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Professional summary

Daniella R. Rand was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniella is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Prior to being barred, Daniella has worked at 8 firms, which includes GLOBAL ASSETS ADVISORY LLC, INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC, INTERNATIONAL ASSETS ADVISORY LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, MORGAN STANLEY, MORGAN STANLEY & CO. LLC, MORGAN STANLEY DW INC..

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniella Rebecca Rand | Daniella R. Rand | Daniella Rand

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniella R. Rand's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 26, 2024 - Present

RAND GROUP FINANCIAL

RIA

CRD#: 329132

San Francisco, CA

Past

August 29, 2022 - October 17, 2023

GLOBAL ASSETS ADVISORY, LLC

RIA

CRD#: 7556

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/26/2024)

IAR

Florida
(7/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/1/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/7/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 4/24/2001

General Securities Representative Examination

Current Firm

RAND GROUP FINANCIAL

RAND GROUP FINANCIAL | RAND GROUP FINANCIAL LLC

CRD#: 329132 / SEC#:

California

Registered Investment Advisory firm - (1/26/2024 Approved)

Florida

Registered Investment Advisory firm - (7/2/2024 Approved)

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(408) 775-9749

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	69
AUM (Assets Under Management)	$ 38,948,547

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.

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Advisor Monitoring

Firm Stability Insights

Daniella R. Rand

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniella R. Rand's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC

INTERNATIONAL ASSETS ADVISORY, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2001

SIE

Date: 10/1/2018

Series 31

Date: 8/7/2002

Series 7

Date: 4/24/2001

Current Firm

RAND GROUP FINANCIAL

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

RAND GROUP FINANCIAL

TRUST BUT VERIFY

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