Randall C. Caton
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.
Randall C Caton, who also goes by Randall Clay Caton, Randy Clay Caton, Randy Caton, Randall Caton, Randy C Caton, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 2006. Randall had worked at 22 firms and has passed the Series 66, 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
June 27, 2025 - July 18, 2025
MORGAN STANLEY
June 27, 2025 - July 18, 2025
MORGAN STANLEY
July 29, 2024 - December 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 2024 - December 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2024 - April 11, 2024
PACIFIC SELECT DISTRIBUTORS, LLC
May 27, 2022 - July 15, 2023
J.P. MORGAN SECURITIES LLC
May 27, 2022 - July 15, 2023
J.P. MORGAN SECURITIES LLC
January 26, 2022 - March 28, 2022
VANGUARD ADVISERS, INC.
January 25, 2022 - March 28, 2022
VANGUARD MARKETING CORPORATION
May 20, 2021 - August 16, 2021
EMPOWER ADVISORY GROUP, LLC
May 18, 2021 - August 16, 2021
EMPOWER FINANCIAL SERVICES, INC.
March 30, 2017 - January 22, 2021
TD AMERITRADE, INC.
March 30, 2017 - January 22, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 30, 2017 - January 22, 2021
TD AMERITRADE, INC.
June 23, 2016 - August 19, 2016
STRATEGIC ADVISERS LLC
April 4, 2016 - August 18, 2016
FIDELITY BROKERAGE SERVICES LLC
April 8, 2013 - September 11, 2015
EDELMAN FINANCIAL ENGINES
October 11, 2012 - March 21, 2013
CUNA BROKERAGE SERVICES, INC.
October 11, 2012 - March 21, 2013
CUNA BROKERAGE SERVICES, INC.
June 5, 2012 - September 26, 2012
STRATEGIC ADVISERS LLC
May 24, 2012 - September 25, 2012
FIDELITY BROKERAGE SERVICES LLC
August 15, 2011 - February 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2011 - February 6, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 2011 - June 17, 2011
CUSO FINANCIAL SERVICES, L.P.
March 14, 2011 - June 17, 2011
CUSO FINANCIAL SERVICES, L.P.
February 8, 2011 - February 18, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 18, 2010 - October 1, 2010
USAA FINANCIAL PLANNING SERVICES
February 2, 2010 - October 1, 2010
USAA FINANCIAL ADVISORS, INC.
September 10, 2009 - December 17, 2009
E*TRADE SECURITIES LLC
June 30, 2009 - August 4, 2009
CAPITAL BROKERAGE CORPORATION
November 17, 2008 - February 27, 2009
BMO HARRIS FINANCIAL ADVISORS, INC.
September 8, 2008 - February 27, 2009
BMO HARRIS FINANCIAL ADVISORS, INC.
November 9, 2007 - September 3, 2008
CHARLES SCHWAB & CO., INC.
July 19, 2006 - August 27, 2007
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
