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RS

Randy L. Saunders

Some features on this profile are disabled
CRD#: 4921335
RS

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 Lee Saunders JR, who also goes by Randy L Saunders Jr, Randy Lee Saunders, Randy Saunders-jr, was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 2005. Randy had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randy L Saunders Jr | Randy Lee Saunders | Randy Saunders-Jr

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)

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®
None

Experience

Past

October 15, 2019 - May 8, 2023

SYNOVUS SECURITIES, INC.

RIA
CRD#: 14023
TAMPA, FL
Past

October 11, 2019 - May 8, 2023

SYNOVUS SECURITIES, INC.

BD
CRD#: 14023
TAMPA, FL
Past

January 2, 2018 - September 25, 2019

BB&T SECURITIES, LLC

RIA
CRD#: 142785
LAKELAND, FL
Past

January 2, 2018 - September 25, 2019

BB&T SECURITIES, LLC

BD
CRD#: 142785
LAKELAND, FL
Past

August 13, 2012 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
LAKELAND, FL
Past

August 13, 2012 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
LAKELAND, FL
Past

March 14, 2011 - July 12, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
RICHMOND, VA
Past

March 14, 2011 - July 12, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
RICHMOND, VA
Past

August 5, 2010 - March 16, 2011

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
FREDERICKSBURG, VA
Past

August 5, 2010 - March 16, 2011

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
FREDERICKSBURG, VA
Past

April 16, 2008 - July 13, 2010

BB&T INVESTMENT SERVICES, INC.

RIA
CRD#: 33856
FREDERICKSBURG, VA
Past

April 16, 2008 - July 13, 2010

BB&T INVESTMENT SERVICES, INC.

BD
CRD#: 33856
FREDERICKSBURG, VA
Past

January 1, 2008 - April 23, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
FREDERICKSBURG, VA
Past

March 30, 2006 - April 23, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
FREDERICKSBURG, VA
Past

March 23, 2005 - April 28, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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".
SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.

CRD#: 14023 / SEC#: 801-19690, 8-34709

RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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
IAR
Series 65
Date: 12/21/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/31/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/22/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SS
SYNOVUS SECURITIES, INC.
CALUMET FINANCIAL ASSOCIATES INC. | SYNOVUS SECURITIES, INC. | SYNOVUS FINANCIAL PLANNING SERVICES | CREATIVE FINANCIAL GROUP, A DIVISION OF SYNOVUS SECURITIES, INC. | CALUMET FINANCIAL ASSOCIATES, INC.

CRD#: 14023 / SEC#: 801-19690, 8-34709

RIA
Registered Investment Advisory firm - SEC (9/1/1983 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
33 W 14th Street 3rd Floor, Columbus, GA 31901
Mailing Address
P.o. Box 2628, Columbus, GA 31902-2628
Phone number
(706) 649-2327
Established
Georgia since 06/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
287

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

CREATIVE FINANCIAL GROUP ADV PART 2A (11/3/2025)
SYNOVUS SECURITIES, INC. ADV PART 2A (11/3/2025)
SYNOVUS SECURITIES, INC. APPENDIX 1 WRAP BROCHURES (11/3/2025)

Direct owners and executive officers

NamePositionCRD#
SYNOVUS FINANCIAL CORP.SYNOVUS SECURITIES, INC PARENT
BROOKS, WILLIAM THOMASCHIEF COMPLIANCE OFFICER5028846
ELEAM, JENNA KELLEYCHIEF FINANCIAL OFFICER / FINOP7801582
GUNDERSON, GENE FREDERICKDIRECTOR OF COMPLIANCE, TRUST & BROKERAGE2914172
HILL, JAYNE BARRYDIRECTOR/PRESIDENT OF WEALTH SERVICES7660902
KIRK, LEAH JEANETTECHIEF OPERATIONS OFFICER2217286
LAW, ROBERT WARDPRESIDENT - CFG DIVISION1399885
MCKENZIE, MICHELLE JESSUPROP2475731
SEXTON, GUY LEONARDEVP/DIRECTOR1204541
VARNER, ROBERT PARKERPRESIDENT2192715

Regulatory assets under management

Total Number of Accounts11,990
AUM (Assets Under Management)$ 7,086,116,735

Disclosures

Regulatory Event10
Arbitration2

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
11/22/2024
Cover Page
Report
10/27/2023
Cover Page
Report

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.

Company Information

SYNOVUS SECURITIES, INC.

CRD#: 14023

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