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RB

Randall H. Brody

INTERNATIONAL ASSET MANAGEMENT
SAN MATEO, CA 94402
Some features on this profile are disabled
CRD#: 5749877
RB

Professional summary

Randall Howard Brody is a registered financial advisor currently at INTERNATIONAL ASSET MANAGEMENT located in San Mateo, California.

Randall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. Randall has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
TAX SAMARITAN, INC~'NIR'~6616 RUDDOCK DR.~ ~NORTH LAS VEGAS~NV~89102~TAX PREPARATION/ACCOUNTING~OWNER/SOLE PROPRIETER~8/2013~160HRS~120HRS~OWNS AND OPERATES TAX SAMARITAN, WHICH SPECIALIZES IN TAX RETURN PREPARATION

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Howard Brody'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

November 29, 2016 - Present

INTERNATIONAL ASSET MANAGEMENT

Office #1: 411 Borel Avenue Suite 505, San Mateo, CA 94402
RIA
CRD#: 123418
SAN MATEO, CA
Past

November 5, 2014 - November 14, 2016

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
NORTH LAS VEGAS, NV
Past

August 16, 2014 - November 14, 2016

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
North Las Vegas, NV

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".
IA
INTERNATIONAL ASSET MANAGEMENT
INDIVIDUAL ASSET MANAGEMENT, INC | INTERNATIONAL ASSET MANAGEMENT

CRD#: 123418 / SEC#: 801-132369

RIA
Registered Investment Advisory firm - (4/11/2025 Approved)
California
Registered Investment Advisory firm - (3/11/2003 Approved)
Texas
Registered Investment Advisory firm - (12/12/2013 Conditional Restricted)

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.

Highlighted states indicate IAR registrations

IAR
California
(11/29/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/16/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/14/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/2014
General Securities Representative Examination

Current Firm

IA
INTERNATIONAL ASSET MANAGEMENT
INDIVIDUAL ASSET MANAGEMENT, INC | INTERNATIONAL ASSET MANAGEMENT

CRD#: 123418 / SEC#: 801-132369

RIA
Registered Investment Advisory firm - (4/11/2025 Approved)
California
Registered Investment Advisory firm - (3/11/2003 Approved)
Texas
Registered Investment Advisory firm - (12/12/2013 Conditional Restricted)
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Contact information

Main Address
411 Borel Avenue Suite 502, San Mateo, CA 94402
Mailing Address
Po Box 1446, San Carlos, CA 94070
Phone number
(415) 358-0138
Established
Firm type
Fiscal year end
# of Employees
5

SEC notice filing (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PARTS 2A AND 2B BROCHURE (2022) (3/12/2025)

Regulatory assets under management

Total Number of Accounts293
AUM (Assets Under Management)$ 106,000,000

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.

Company Information

INTERNATIONAL ASSET MANAGEMENT

CRD#: 123418San Mateo, CA 94402

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