RB
Randy E. Baldwin
Some features on this profile are disabled
CRD#: 4336705
RB
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.
Randy Eugene Baldwin was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 2001. Randy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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) 08/15/2014 - GRANITE BAY RETIREMENT SERVICES, INC. - INVESTMENT RELATED - LOCATED AT REPORTED BUSINESS ADDRESS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - STARTED 8/15/2014 - TIME SPENT 65% (2) 08/15/2014 - RANDY BALDWIN CPA - INVESTMENT RELATED - LOCATED AT REPORTED BUSINESS ADDRESS - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - 0 HOURS PER MONTH - ACCOUNTING ENTITY ONLY USED TO RUN THE PSG CPA'S LLC TAX PREP BUSINESS. - (3) 08/15/2014 -BERKSHIRE DISABILITY - INVESTMENT RELATED - LOCATED AT REPORTED BUSINESS ADDRESS- NON-VARIABLE INSURANCE - TIME SPENT 1%- DUTIES:DISABILITY ONLY. (4) 08/15/2014 - AXA - INVESTMENT RELATED - LOCATED AT REPORTED BUSINESS ADDRESS - NON-VARIABLE INSURANCE - 0 HOURS PER MONTH - TRAILS ONLY FOR LIFE INSURANCE CONTRACTS PREVIOUSLY WRITTEN AT AXA (5) 08/15/2014 - RUBICON ADVISORS - INVESTMENT RELATED - LOCATED AT REPORTED BUSINESS ADDRESS - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - 0 HOURS PER MONTH - (6) 09/02/2014 - PROFESSIONAL SOLUTIONS GROUP CPAS, LLC - INVESTMENT RELATED - LOCATE AT REPORTED BUSINESS ADDRESS - TAX PREP/ACCOUNTING/CPA - POSITION INDEPENDENT CONTRACTOR - TIME SPENT 60% (7) 1/17/2017 - tasc - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/17/16 - 3 Hours Per Month/2 Hours During Securities Trading - Fixed insurance. (8) 3/2/2018 - Rubicon Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 03/15/2015 - 50 Hours Per Month During Securities Trading - I provide investment advisory services through Rubicon Advisors, an independent investment advisor firm. I started this business activity in 03/2015. I expect to spend approximately 50 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (9) 9/16/2020 - Arrivus - Investment Related - 1012 SW King Ave, Suite 203, Portland, OR 97205 - Non-Variable Insurance - Agent - Started 08/21/2020 - 1 Hour Per Month During Securities Trading. (10) 10/26/2022 - No Business Name - Not Investment Related - Home Based - Act in a Fiduciary Capacity - Start Date: 08/23/2021 - 8 Hours Per Month/1 Hour During Securities Trading.
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®
NoneExperience
Past
March 17, 2015 - July 18, 2023
RUBICON ADVISORS
RIA
CRD#: 174447
Roseville, CA
Past
August 18, 2014 - September 7, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ROSEVILLE, CA
Past
August 15, 2014 - February 10, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
ROSEVILLE, CA
Past
July 20, 2007 - September 2, 2014
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
ROSEVILLE, CA
Past
July 20, 2007 - September 2, 2014
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
ROSEVILLE, CA
Past
June 1, 2005 - July 31, 2007
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
ROSEVILLE, CA
Past
June 1, 2005 - July 31, 2007
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
ROSEVILLE, CA
Past
December 2, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
ROSEVILLE, CA
Past
December 2, 2003 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
July 22, 2002 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
RIA
CRD#: 24049
ROSEVILLE, CA
Past
January 18, 2001 - December 2, 2003
TRUSTED SECURITIES ADVISORS CORP.
BD
CRD#: 24049
NEW YORK, NY
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".
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
RA
RUBICON ADVISORS
RUBICON ADVISORS | RUBICON PARTNERS, INC | RUBICON PARTNERS | RUBICON ADVISORS, INC | RUBICON ADVISORS, GP
CRD#: 174447 / SEC#: 801-109012
RIA
Registered Investment Advisory firm - (1/27/2017 Approved)Arizona
Registered Investment Advisory firm - (2/8/2017 Terminated)California
Registered Investment Advisory firm - (3/10/2017 Terminated)Idaho
Registered Investment Advisory firm - (2/8/2017 Terminated)New York
Registered Investment Advisory firm - (2/8/2017 Terminated)Washington
Registered Investment Advisory firm - (2/8/2017 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1640 East Cypress Suite A, Redding, CA 96002
Mailing Address
Phone number
(530) 223-5357
Established
Firm type
Fiscal year end
# of Employees
18
SEC notice filing (13 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,015 |
| AUM (Assets Under Management) | $ 340,182,241 |
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.
