Scott J. Randall

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CRD#: 5476567

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.

Scott Joseph Randall, who also goes by Scott J Randall, Scott Randall, was a registered financial professional .

Scott is a previously registered financial professional and started their career in finance in 2008. Scott had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 57 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Scott J Randall | Scott Randall

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

December 17, 2020 - February 4, 2021

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Norwalk, CT

Past

October 7, 2020 - October 7, 2020

MODERN CAPITAL ADVISORS, LLC

RIA

CRD#: 131117

Norwalk, CT

Past

October 5, 2020 - February 4, 2021

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

CRD#: 130390

Norwalk, CT

Past

May 16, 2019 - September 29, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBURY, NY

Past

May 2, 2019 - September 29, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBURY, NY

Past

August 31, 2018 - October 29, 2018

EDWARD JONES

RIA

CRD#: 250

Long Island City, NY

Past

August 9, 2018 - October 29, 2018

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

April 14, 2017 - July 31, 2018

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

March 31, 2008 - September 10, 2008

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

NEW YORK, NY

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".

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 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 66

Date: 8/30/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/4/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2018

General Securities Representative Examination

General Industry/Product Exam

Series 57

Date: 4/14/2017

Securities Trader Exam

Current Firm

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS CAPITAL MANAGEMENT, LLC | MODERN CAPITAL ADVISORS, LLC

CRD#: 131117 / SEC#: 801-72611

RIA

Registered Investment Advisory firm - (7/26/2011 Approved)

Arizona

Registered Investment Advisory firm - (2/2/2012 Terminated)

California

Registered Investment Advisory firm - (3/3/2012 Terminated)

Mississippi

Registered Investment Advisory firm - (2/2/2012 Terminated)

Nevada

Registered Investment Advisory firm - (3/16/2012 Terminated)

Ohio

Registered Investment Advisory firm - (2/2/2012 Terminated)

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Contact information

Main Address

7780 Brier Creek Parkway Suite 325, Raleigh, NC 27617

Mailing Address

Phone number

(800) 440-0442

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (37 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MODERN CAPITAL ADVISORS ADV 2A (3/29/2024)

Regulatory assets under management

Total Number of Accounts	1,561
AUM (Assets Under Management)	$ 285,401,221

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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Advisor Monitoring

Firm Stability Insights

Scott J. Randall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MODERN CAPITAL ADVISORS, LLC

LIBERTY PARTNERS FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

EDWARD JONES

EDWARD JONES

T3 TRADING GROUP, LLC

NEWBRIDGE SECURITIES CORPORATION

Primary Firm SEC Registration

MODERN CAPITAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2018

Series 63

Date: 4/4/2008

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2018

Series 57

Date: 4/14/2017

Current Firm

MODERN CAPITAL ADVISORS, LLC

Contact information

SEC notice filing (37 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MODERN CAPITAL ADVISORS, LLC

TRUST BUT VERIFY

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