Morris C. Randol
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.
Morris Claude Randol, who also goes by Morris Claude Randol II, was a registered financial professional .
Morris is a previously registered financial professional and started their career in finance in 2002. Morris had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - October 17, 2017
CETERA INVESTMENT ADVISERS LLC
January 3, 2014 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
December 27, 2013 - October 17, 2017
CETERA INVESTMENT SERVICES LLC
February 23, 2011 - March 27, 2013
WFG ADVISORS, LP
January 20, 2011 - February 11, 2011
WFG ADVISORS, LP
January 20, 2011 - March 27, 2013
WFG INVESTMENTS, INC.
October 15, 2010 - January 18, 2011
PNC MANAGED ACCOUNT SOLUTIONS, INC.
April 28, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
December 19, 2006 - March 16, 2010
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 19, 2006 - January 18, 2011
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 5, 2005 - December 20, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
January 8, 2004 - December 20, 2006
AMSOUTH INVESTMENT SERVICES, INC.
April 16, 2002 - January 2, 2004
EDWARD JONES
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
Exams
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 |
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.
