Ashley E. Randall

ALPACA SECURITIES LLC

NEW YORK, NY 10017

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CRD#: 5612382

Professional summary

Ashley Erica Randall, who also goes by Ashley Erica Randall, is a registered financial professional currently at ALPACA SECURITIES LLC located in New York, New York.

Ashley is registered as a RR (Registered Representative) and started their career in finance in 2009. Ashley has worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 34, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ashley Erica 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) - BD

Click below to view Ashley Erica Randall'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

April 18, 2022 - Present

ALPACA SECURITIES LLC

Office #1: 12 E 49th St. Floor 11, New York, NY 10017

CRD#: 288202

NEW YORK, NY

Past

August 20, 2020 - March 1, 2022

AXOS INVEST LLC

CRD#: 172393

LAS VEGAS, NV

Past

October 6, 2015 - March 1, 2022

AXOS CLEARING LLC

CRD#: 117176

Omaha, NE

Past

November 26, 2013 - October 7, 2015

WOODMEN FINANCIAL SERVICES, INC.

CRD#: 117365

OMAHA, NE

Past

November 6, 2009 - November 27, 2013

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(4/18/2022)

Nebraska
(4/19/2022)

Exams

State Security Law Exam

Series 63

Date: 11/16/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 34

Date: 3/23/2012

Retail Off-Exchange FOREX Examination

General Industry/Product Exam

Series 3

Date: 7/19/2011

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/5/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/22/2012

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

ALPACA SECURITIES LLC

CRD#: 288202 / SEC#: , 8-69928

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

12 E 49th St. Floor 11, New York, NY 10017

Mailing Address

12 E 49th St. Floor 11, New York, NY 10017

Phone number

(941) 231-4093

Established

Delaware since 03/15/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALPACADB, INC.	SOLE MEMBER
DIAZ, ZACHARY LUCIANO	SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER	6027965
DUSSEAULT, DAVID STANLEY	PRESIDENT AND COO	2819891
GARZA, FELIPE	AML COMPLIANCE OFFICER	4613815
LEE, TONY	GLOBAL HEAD OF BROKERAGE	5618563
SAUGSTAD, MONIQUE D	CHIEF COMPLIANCE OFFICER	4127241
TAIFI, MEHDI	CHIEF RISK OFFICER	5977322
WETTERWALD, TAMMY CAO	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP	6113272

Disclosures

Regulatory Event

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

Ashley E. Randall

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ashley Erica Randall's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXOS INVEST LLC

AXOS CLEARING LLC

WOODMEN FINANCIAL SERVICES, INC.

TD AMERITRADE, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/16/2009

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 34

Date: 3/23/2012

Series 3

Date: 7/19/2011

Series 7

Date: 11/5/2009

Series 24

Date: 8/22/2012

FINRA

Investors' Exchange LLC

Nasdaq BX, Inc.

Nasdaq Stock Market

Current Firm

ALPACA SECURITIES LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPACA SECURITIES LLC

TRUST BUT VERIFY

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