RW
Randi R. Walker
JANNEY MONTGOMERY SCOTT LLC
Dallas, TX 75225
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CRD#: 6132756
RW
Professional summary
Randi Richardson Walker, CFP®, who also goes by Randi T Richardson, Randi Taylor Richardson, Randi Taylor Walker, Randi Richardson Walker, is a registered financial advisor currently at JANNEY MONTGOMERY SCOTT LLC located in Dallas, Texas.
Randi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Randi has worked at 7 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randi T Richardson | Randi Taylor Richardson | Randi Taylor Walker | Randi Richardson Walker
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.
1. Major Works LLC 2. Investment Relationship - No 3. 3524 MerrelRoad, Dallas TX 75229 4. Construction 5. Owner- Managing Member 6. 2/28/2022 7. 2/28/2022 8. 5 hrs 8. 0 hrs 9. Help my husband with quick books.
CRS (Client Relationship Summary) - RIA
Click below to view Randi Richardson Walker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randi Richardson Walker'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®
Experience
Current
November 4, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: Wework Preston Center 5960 Berkshire Lane, Office 06-118, Dallas, TX 75225RIA
BD
CRD#: 463
Dallas, TX
Current
November 4, 2025 - Present
JANNEY MONTGOMERY SCOTT LLC
Office #1: Wework Preston Center 5960 Berkshire Lane, Office 06-118, Dallas, TX 75225RIA
BD
CRD#: 463
Dallas, TX
Past
March 26, 2024 - October 30, 2025
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
DALLAS, TX
Past
March 26, 2024 - October 30, 2025
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
DALLAS, TX
Past
April 25, 2023 - March 19, 2024
CONCURRENT INVESTMENT ADVISORS, LLC
RIA
CRD#: 323135
Dallas, TX
Past
April 25, 2023 - March 8, 2024
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Dallas, TX
Past
January 9, 2023 - May 1, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Dallas, TX
Past
January 9, 2023 - May 1, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
DALLAS, TX
Past
August 3, 2015 - January 13, 2023
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
DALLAS, TX
Past
December 8, 2014 - January 13, 2023
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
DALLAS, TX
Past
August 22, 2014 - December 16, 2014
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
DALLAS, TX
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".
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia 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
Alabama(11/4/2025)
RR
Arizona(11/4/2025)
RR
Arkansas(11/4/2025)
RR
California(11/4/2025)
RR
Colorado(11/4/2025)
RR
Connecticut(11/4/2025)
RR
Florida(11/4/2025)
RR
Georgia(11/4/2025)
RR
Hawaii(11/4/2025)
RR
Idaho(11/4/2025)
RR
Illinois(11/4/2025)
RR
Indiana(11/4/2025)
RR
Kansas(11/4/2025)
RR
Kentucky(11/4/2025)
RR
Louisiana(11/4/2025)
RR
Maine(11/4/2025)
RR
Maryland(11/4/2025)
RR
Massachusetts(11/4/2025)
RR
Minnesota(11/4/2025)
RR
Mississippi(11/4/2025)
RR
Missouri(11/4/2025)
RR
Nebraska(11/4/2025)
RR
Nevada(11/4/2025)
RR
New Hampshire(11/4/2025)
RR
New Jersey(11/4/2025)
RR
New Mexico(11/4/2025)
RR
New York(11/4/2025)
RR
North Carolina(11/4/2025)
RR
North Dakota(11/4/2025)
RR
Ohio(11/4/2025)
RR
Oklahoma(11/4/2025)
RR
Oregon(11/4/2025)
RR
Pennsylvania(11/4/2025)
RR
South Carolina(11/4/2025)
RR
Tennessee(11/4/2025)
RR
Texas(11/4/2025)
IAR
Texas(11/4/2025)
RR
Utah(11/4/2025)
RR
Virginia(11/4/2025)
RR
Washington(11/4/2025)
RR
Wyoming(11/4/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
JANNEY MONTGOMERY SCOTT LLC
JANNEY MONTGOMERY SCOTT INC. | PARKER/HUNTER ASSET MANAGEMENT | JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
RIA
Registered Investment Advisory firm - SEC (3/8/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
1717 Arch Street, Philadelphia, PA 19103
Mailing Address
1717 Arch Street, Philadelphia, PA 19103
Phone number
(215) 665-6000
Established
Delaware since 08/27/1999
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
2,375
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
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.
Company Information
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463Dallas, TX 75225TRUST BUT VERIFY
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