RS
Randy M. See
PRINCIPAL SECURITIES
Raleigh, NC
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CRD#: 5595447
RS
Professional summary
Randy M See, AIF®, CFP®, CLU® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Raleigh, North Carolina.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Randy has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
**OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, DISABILITY INSURANCE, LONG TERM CARE INSURANCE AND FIXED ANNUITIES THROUGH VARIOUS CARRIERS,12/18/2012. **Fixed Insurance; Investment Related; Agent; Group Benefits; Start Date: 03/28/2019; 2 hrs per month; 2 during trading hours. **RENTAL HOUSE POSITION: Rental House NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/03/2024 ADDRESS: 1712 Hunting Ridge Road, Raleigh NC 27615, United States DESCRIPTION: We are renting out a townhouse we recently purchased. We are using a property management company to handle the details. **TRIANGLE EXOTIC RENTALS POSITION: Rent extra car NATURE: Renting extra vehicle INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/08/2025 ADDRESS: 1712 Hunting Ridge Road, Raleigh NC 27615, United States DESCRIPTION: I want to allow a business, "Triangle Exotic Rentals", to rent out an extra vehicle I have. They will handle everything for me and keep 25% of the revenue collect from the rental. This will not take away time from my main business. **SEE WEALTH MANAGEMENT POSITION: President NATURE: DI/A&H Insurance, Fee-based Financial Planning, Life Insurance/Annuities, Mutual Funds/Securities/ VA / VL, Seminars/Educational Workshops INVESTMENT RELATED: Yes NUMBER OF HOURS: 165 SECURITIES TRADING HOURS: 130 START DATE: 01/01/2025 ADDRESS: 4141 Parklake Ave, Suite 450, Raleigh NC 27612, United States DESCRIPTION: See Wealth Management will serve as a DBA for agent, Randy See. He will use it to market his individual practice selling Life/DI/LTC insurance, fixed life/annuity products and securities related products. His title will be President, and his role will be financial advisor, investment advisor.
CRS (Client Relationship Summary) - RIA
Click below to view Randy M See's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randy M See's 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®
CFP®
Start date: 2012
Experience
Current
September 25, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Current
September 22, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Past
August 24, 2009 - August 28, 2009
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
January 9, 2009 - June 3, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
RALEIGH, NC
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(5/19/2022)
RR
California(1/13/2016)
RR
Colorado(1/4/2018)
RR
Connecticut(3/28/2022)
RR
Delaware(6/13/2016)
RR
District of Columbia(8/17/2021)
RR
Florida(10/4/2012)
RR
Georgia(8/23/2021)
RR
Hawaii(1/22/2019)
RR
Maryland(8/4/2010)
RR
Massachusetts(3/26/2024)
RR
Michigan(1/7/2014)
RR
New Jersey(9/18/2013)
RR
New York(5/20/2010)
RR
North Carolina(9/22/2009)
IAR
North Carolina(9/25/2009)
RR
Ohio(1/7/2021)
RR
Pennsylvania(9/18/2013)
RR
South Carolina(8/3/2011)
RR
Texas(5/19/2023)
IAR
Texas(5/19/2023)
RR
Virginia(6/14/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
