Thomas J. Randt

SPARTA WEALTH PARTNERS

Mesa, AZ

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CRD#: 6604443

Professional summary

Thomas J Randt II, who also goes by Thomas J Randt II, Tj Randt, Thomas James Randt Ii, is a registered financial advisor currently at SPARTA WEALTH PARTNERS located in Mesa, Arizona.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2017. Thomas has worked at 6 firms and has passed the Series 66, Series 57TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Thomas J Randt Ii | Tj Randt | Thomas James Randt Ii

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 Thomas J Randt II'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

October 2, 2024 - Present

SPARTA WEALTH PARTNERS

RIA

CRD#: 318036

Mesa, AZ

Past

January 31, 2022 - September 27, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Phoenix, AZ

Past

December 22, 2021 - September 27, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Phoenix, AZ

Past

March 26, 2021 - November 5, 2021

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

April 23, 2019 - November 11, 2020

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

CRD#: 15356

PHOENIX, AZ

Past

April 23, 2019 - March 22, 2021

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

PHOENIX, AZ

Past

October 2, 2017 - April 12, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

August 9, 2017 - April 12, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

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".

SPARTA WEALTH PARTNERS

SPARTA WEALTH PARTNERS | TOTAL SOLUTIONS ENTERPRISE LLC | TOTAL SOLUTIONS ENTERPRISE

CRD#: 318036 / SEC#: 801-123050

RIA

Registered Investment Advisory firm - (1/20/2022 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

Arizona
(10/23/2024)

IAR

California
(10/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/29/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 6/3/2021

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2017

General Securities Representative Examination

Current Firm

SPARTA WEALTH PARTNERS

SPARTA WEALTH PARTNERS | TOTAL SOLUTIONS ENTERPRISE LLC | TOTAL SOLUTIONS ENTERPRISE

CRD#: 318036 / SEC#: 801-123050

RIA

Registered Investment Advisory firm - (1/20/2022 Approved)

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Contact information

Main Address

4500 Cameron Valley Parkway Suite 130, Charlotte, NC 28211

Mailing Address

Phone number

(704) 575-1148

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (7/28/2025)

Regulatory assets under management

Total Number of Accounts	564
AUM (Assets Under Management)	$ 265,387,750

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

Thomas J. Randt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas J Randt II's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

T3 TRADING GROUP, LLC

MUTUAL OF AMERICA LIFE INSURANCE COMPANY

MUTUAL OF AMERICA SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SPARTA WEALTH PARTNERS

State Registrations and Notice Filings

Exams

Series 66

Date: 1/29/2022

Series 57TO

Date: 6/3/2021

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2017

Current Firm

SPARTA WEALTH PARTNERS

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SPARTA WEALTH PARTNERS

TRUST BUT VERIFY

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