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RR

Randall Roman

OPENARC CORPORATE ADVISORY | Senior Financial Advisor
ATLANTA, GA 30326
Some features on this profile are disabled
CRD#: 4941190
RR

Professional summary

Randall Roman, who also goes by Randall Romantoledo, Randall Roman Toledo, is a registered financial advisor currently at OPENARC CORPORATE ADVISORY, LLC located in Atlanta, Georgia.

Randall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Randall has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Randall Romantoledo | Randall Roman Toledo

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 Randall Roman's CRS (Customer Relationship Summary).
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

September 24, 2025 - Present

OPENARC CORPORATE ADVISORY, LLC

Office #1: 3550 Peachtree Road Ne Floor 7, Atlanta, GA 30326
RIA
CRD#: 336837
ATLANTA, GA
Past

November 16, 2010 - September 26, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ATLANTA, GA
Past

May 21, 2010 - September 26, 2025

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ATLANTA, GA
Past

October 18, 2005 - October 3, 2007

UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO

BD
CRD#: 13042
SAN JUAN, PR
Past

October 18, 2005 - May 20, 2010

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
ALPHARETTA, GA

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".
OC
OPENARC CORPORATE ADVISORY, LLC
1330 ADVISORS | OPENARC CORPORATE ADVISORY, LLC | 1330 ADVISORS, LLC

CRD#: 336837 / SEC#: 801-133754

RIA
Registered Investment Advisory firm - (7/8/2025 Approved)

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
Georgia
(9/25/2025)
IAR
Texas
(9/24/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/13/2010
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/1/2007
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: 10/17/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/1/2008
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/31/2008
General Securities Sales Supervisor - General Module Examination

Current Firm

OC
OPENARC CORPORATE ADVISORY, LLC
1330 ADVISORS | OPENARC CORPORATE ADVISORY, LLC | 1330 ADVISORS, LLC

CRD#: 336837 / SEC#: 801-133754

RIA
Registered Investment Advisory firm - (7/8/2025 Approved)
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Contact information

Main Address
3550 Peachtree Road Ne Floor 7, Atlanta, GA 30326
Mailing Address
Phone number
(844) 648-6001
Established
Firm type
Fiscal year end
# of Employees
140

SEC notice filing (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

1330 ADVISORS ADV PART 2A (10/2/2025)

Regulatory assets under management

Total Number of Accounts492
AUM (Assets Under Management)$ 443,705,451

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

OPENARC CORPORATE ADVISORY, LLC

Senior Financial AdvisorCRD#: 336837Atlanta, GA 30326

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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