Randy L. Floyd

Some features on this profile are disabled

CRD#: 4951554

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 Leon Floyd was a registered financial professional .

Randy is a previously registered financial professional and started their career in finance in 2005. Randy had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

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.

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

August 28, 2015 - June 29, 2026

FLOYD FINANCIAL GROUP LLC

RIA

CRD#: 226773

SPRINGFIELD, MO

Past

April 3, 2014 - August 31, 2015

BROOKSTONE WEALTH ADVISORS, LLC

RIA

CRD#: 137658

SPRINGFIELD, MO

Past

February 27, 2012 - April 3, 2014

MONTICELLO INVESTMENT SERVICES, INC.

RIA

CRD#: 140851

NEOSHO, MO

Past

February 27, 2012 - April 3, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

SPRINGFIELD, MO

Past

October 5, 2010 - April 16, 2012

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

SPRINGFIELD, MO

Past

January 6, 2010 - September 29, 2010

PLANMEMBER SECURITIES CORPORATION

RIA

CRD#: 11869

SPRINGFIELD, MO

Past

January 6, 2010 - September 29, 2010

PLANMEMBER SECURITIES CORPORATION

CRD#: 11869

SPRINGFIELD, MO

Past

July 30, 2009 - December 22, 2009

AMERICAN INVESTMENT SERVICES

RIA

CRD#: 144088

SPRINGFIELD, MO

Past

May 10, 2007 - July 27, 2009

ALLEGIANT FINANCIAL ADVISORS, LLC

RIA

CRD#: 141047

MIAMI BEACH, FL

Past

April 10, 2007 - December 31, 2009

ALLEGIANT SECURITIES L.L.C.

CRD#: 133912

MIAMI, FL

Past

January 18, 2007 - March 13, 2007

KCD FINANCIAL, INC.

RIA

CRD#: 127473

SPRINGFIELD, MO

Past

May 9, 2005 - March 13, 2007

KCD FINANCIAL, INC.

CRD#: 127473

SPRINGFIELD, MO

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".

FLOYD FINANCIAL GROUP LLC

CRD#: 226773 / SEC#: 801-129942

RIA

Registered Investment Advisory firm - (4/22/2024 Approved)

Missouri

Registered Investment Advisory firm - (6/11/2024 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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 65

Date: 1/17/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/21/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/6/2005

General Securities Representative Examination

Current Firm

FLOYD FINANCIAL GROUP LLC

CRD#: 226773 / SEC#: 801-129942

RIA

Registered Investment Advisory firm - (4/22/2024 Approved)

Missouri

Registered Investment Advisory firm - (6/11/2024 Terminated)

Texas

Registered Investment Advisory firm - (6/11/2024 Terminated)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1304 W Battlefield Rd, Springfield, MO 65807

Mailing Address

Phone number

(417) 889-7233

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/18/2026)

Regulatory assets under management

Total Number of Accounts	689
AUM (Assets Under Management)	$ 164,475,000

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

HELENA, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

ESTERO, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Randy L. Floyd

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKSTONE WEALTH ADVISORS, LLC

MONTICELLO INVESTMENT SERVICES, INC.

MIDAMERICA FINANCIAL SERVICES, INC.

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

PLANMEMBER SECURITIES CORPORATION

PLANMEMBER SECURITIES CORPORATION

AMERICAN INVESTMENT SERVICES

ALLEGIANT FINANCIAL ADVISORS, LLC

ALLEGIANT SECURITIES L.L.C.

KCD FINANCIAL, INC.

KCD FINANCIAL, INC.

Primary Firm SEC Registration

FLOYD FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/17/2007

Series 63

Date: 6/21/2005

Series 7

Date: 5/6/2005

Current Firm

FLOYD FINANCIAL GROUP LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FLOYD FINANCIAL GROUP LLC

TRUST BUT VERIFY

Similar Advisors