Randall C. Stone

RANDALL STONE FINANCIAL

Chico, CA

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CRD#: 4532912

Professional summary

Randall Carlton Stone, who also goes by Randall Stone, is a registered financial advisor currently at RANDALL STONE FINANCIAL located in Chico, California.

Randall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Randall has worked at 4 firms and has passed the Series 66, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randall Stone

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.

RANDALL STONE REAL ESTATE DEVELOPMENT, NON-INVESTMENT RELATED, 1390 GREENWICH DRIVE, CHICO, CA 95926, REAL ESTATE BUILDER AND DEVELOPER, DIRECTOR OF DEVELOPMENT, MANAGE THE DEVELOPMENT, FINANCING, AND ENTITLEMENT PROCESSES FOR CURRENT DEVELOPMENT PROJECTS, MANAGEMENT OF THE PROJECTS UPON COMPLETION IS CONDUCTED THROUGH A SEPARATE BUSINESS ENTITY 40 HRS/MONTH, 0 HRS/MONTH DURING SECURITIES HOURS, START DATE 09/2005 RANDALL STONE, NON-INVESTMENT RELATED, ADJUNCT PROFESSOR, RESPONSIBLE FOR ALL ASPECTS RELATED TO THE COURSE DEVELOPMENT, INSTRUCTION, SUPERVISION OF ALL STUDENTS, 24 HRS/MONTH, 0 HRS/MONTH DURING SECURITIES HOURS, START DATE 09/21/2017. BEAN COUNTING FIRM, NON-INVESTMENT RELATED, 383 CONNORS COURT, SUITE D, CHICO, CA 95926. CALIFORNIA REGISTERED TAX PREPARER, 168 HOURS/MONTH, 90 HOURS/MONTH DURING SECURITIES HOURS, START DATE 10/01/2022.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Carlton Stone'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 9, 2012 - Present

RANDALL STONE FINANCIAL

RIA

CRD#: 142729

Chico, CA

Past

June 26, 2007 - December 31, 2007

RANDALL STONE FINANCIAL

RIA

CRD#: 142729

CHICO, CA

Past

January 3, 2005 - December 31, 2006

BROOKSTREET SECURITIES CORPORATION

RIA

CRD#: 14667

CHICO, CA

Past

July 8, 2004 - December 31, 2006

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

CHICO, CA

Past

January 7, 2003 - March 9, 2004

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

CHICO, CA

Past

January 7, 2003 - March 9, 2004

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

October 11, 2002 - January 13, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

CHICO, CA

Past

July 22, 2002 - January 13, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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
(1/9/2012)

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: 7/19/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 31

Date: 9/9/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/2/2002

General Securities Representative Examination

Current Firm

RANDALL STONE FINANCIAL

RANDALL CARLTON STONE | RANDALL STONE FINANCIAL PLANNING & REAL ESTATE | RANDALL STONE FINANCIAL PLANNING | RANDALL STONE FINANCIAL

CRD#: 142729 / SEC#:

California

Registered Investment Advisory firm - (1/1/2012 Approved)

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Contact information

Main Address

Chico, CA

Mailing Address

Phone number

(530) 267-6150

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Randall C. Stone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Carlton Stone's CRS (Customer Relationship Summary).

Certified licenses

Experience

RANDALL STONE FINANCIAL

RANDALL STONE FINANCIAL

BROOKSTREET SECURITIES CORPORATION

BROOKSTREET SECURITIES CORPORATION

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/19/2002

Series 31

Date: 9/9/2002

Series 7

Date: 7/2/2002

Current Firm

RANDALL STONE FINANCIAL

Contact information

Documents

Red Flags

Company Information

RANDALL STONE FINANCIAL

TRUST BUT VERIFY

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