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Nicholas J. Randall

RANDALL WEALTH ADVISORS
La Vista, NE
Some features on this profile are disabled
CRD#: 6169689
NR

Professional summary

Nicholas James Randall, who also goes by Nicholas Randall, is a registered financial advisor currently at RANDALL WEALTH ADVISORS, LLC located in La Vista, Nebraska.

Nicholas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Nicholas has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicholas 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) - RIA

Click below to view Nicholas James Randall'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®
None

Experience

Current

June 3, 2016 - Present

RANDALL WEALTH ADVISORS, LLC

RIA
CRD#: 283254
La Vista, NE
Past

January 1, 2023 - August 16, 2024

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
OMAHA, NE
Past

August 21, 2013 - October 10, 2013

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
OMAHA, NE

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
Iowa
(6/13/2016)
IAR
Kansas
(1/31/2022)
IAR
Nebraska
(6/3/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 2/1/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/13/2015
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/29/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/29/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/2013
General Securities Representative Examination

Current Firm

RW
RANDALL WEALTH ADVISORS, LLC
RANDALL WEALTH ADVISORS | WESTERN WEALTH BUILDERS, LLC | WESTERN WEALTH BUILDERS | RANDALL WEALTH ADVISORS, LLC

CRD#: 283254 / SEC#:

Illinois
Registered Investment Advisory firm - (1/16/2020 Terminated)
Iowa
Registered Investment Advisory firm - (6/13/2016 Approved)
Kansas
Registered Investment Advisory firm - (1/31/2022 Approved)
Nebraska
Registered Investment Advisory firm - (6/2/2016 Approved)
Ohio
Registered Investment Advisory firm - (1/17/2020 Terminated)
West Virginia
Registered Investment Advisory firm - (1/16/2020 Terminated)
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Contact information

Main Address
La Vista, NE
Mailing Address
Phone number
(402) 709-9374
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV

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

RANDALL WEALTH ADVISORS, LLC

CRD#: 283254La Vista, NE

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