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Randolph J. Chavez

JOURNEY ADVISORY GROUP
Covington, KY 41011
Some features on this profile are disabled
CRD#: 6601128
RC

Professional summary

Randolph J. Chavez, who also goes by Randolph J Chavez, Randolph Joseph Chavez, Randolph Havez, Chavez Randy, is a registered financial advisor currently at JOURNEY ADVISORY GROUP, LLC located in Covington, Kentucky.

Randolph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Randolph has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Randolph J Chavez | Randolph Joseph Chavez | Randolph Havez | Chavez Randy

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 Randolph J. Chavez'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

March 12, 2026 - Present

JOURNEY ADVISORY GROUP, LLC

Office #1: 50 E. Rivercenter Blvd Suite 301, Covington, KY 41011
RIA
CRD#: 171919
Covington, KY
Past

January 28, 2022 - June 3, 2025

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
Cincinnati, OH
Past

January 27, 2022 - June 3, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Cincinnati, OH
Past

April 26, 2016 - December 3, 2021

FIFTH THIRD SECURITIES, INC.

RIA
CRD#: 628
CINCINNATI, OH
Past

January 22, 2016 - December 3, 2021

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH

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".
JOURNEY ADVISORY GROUP, LLC
JOURNEY ADVISORY GROUP, LLC
DYNASTY ADVISOR GROUP, LLC | TORCH WEALTH MANAGEMENT | PENNINGTON FINANCIAL GROUP | JOURNEY ADVISORY GROUP, LLC

CRD#: 171919 / SEC#: 801-79934

RIA
Registered Investment Advisory firm - (6/26/2014 Approved)

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
Kentucky
(3/12/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/26/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2016
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/24/2016
General Securities Principal Examination

Current Firm

JOURNEY ADVISORY GROUP, LLC
JOURNEY ADVISORY GROUP, LLC
DYNASTY ADVISOR GROUP, LLC | TORCH WEALTH MANAGEMENT | PENNINGTON FINANCIAL GROUP | JOURNEY ADVISORY GROUP, LLC

CRD#: 171919 / SEC#: 801-79934

RIA
Registered Investment Advisory firm - (6/26/2014 Approved)
PREMIUM
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Contact information

Main Address
50 E. Rivercenter Blvd Suite 301, Covington, KY 41011
Mailing Address
Phone number
(859) 888-0356
Established
Firm type
Fiscal year end
# of Employees
27

SEC notice filing (18 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

JOURNEY ADVISORY GROUP, LLC FORM ADV 2A (4/14/2025)

Regulatory assets under management

Total Number of Accounts2,004
AUM (Assets Under Management)$ 1,473,333,518

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

JOURNEY ADVISORY GROUP, LLC

JOURNEY ADVISORY GROUP, LLC

CRD#: 171919Covington, KY 41011

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