Randall A. Francis

PACIFIC CAPITAL

CORONA, CA 92881

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CRD#: 6981057

Professional summary

Randall Arthur Francis, CFP®, who also goes by Randy Arthur Francis, is a registered financial advisor currently at PACIFIC CAPITAL located in Corona, California.

Randall is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Randall has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randy Arthur Francis

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.

Randall Francis, Sole proprietor; investment related; Corona, CA; insurance agent; start date 03/2019; less than 1% of time

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Arthur Francis'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®

CFP^®

Certified Financial Planner

Start date: 2020

Experience

Current

August 20, 2020 - Present

PACIFIC CAPITAL

Office #1: 1861 California Avenue Suite 101, Corona, CA 92881

RIA

CRD#: 159294

CORONA, CA

Past

December 18, 2018 - August 20, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

CHESTERFIELD, MO

Past

October 9, 2018 - August 20, 2020

LPL FINANCIAL LLC

CRD#: 6413

CHESTERFIELD, MO

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".

PACIFIC CAPITAL

PACIFIC CAPITAL | PACIFIC CAPITAL WEALTH ADVISORS, INC.

CRD#: 159294 / SEC#: 801-80494

RIA

Registered Investment Advisory firm - (11/3/2014 Approved)

California

Registered Investment Advisory firm - (12/6/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(8/20/2020)

IAR

Texas
(9/18/2024)

IAR

Utah
(8/21/2020)

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: 12/13/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/9/2018

General Securities Representative Examination

Current Firm

PACIFIC CAPITAL

PACIFIC CAPITAL | PACIFIC CAPITAL WEALTH ADVISORS, INC.

CRD#: 159294 / SEC#: 801-80494

RIA

Registered Investment Advisory firm - (11/3/2014 Approved)

California

Registered Investment Advisory firm - (12/6/2014 Terminated)

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Contact information

Main Address

1861 California Avenue Suite 101, Corona, CA 92881

Mailing Address

Phone number

(844) 777-8777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A AND 2B (4/23/2025)

Regulatory assets under management

Total Number of Accounts	577
AUM (Assets Under Management)	$ 654,348,900

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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Randall A. Francis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randall Arthur Francis's CRS (Customer Relationship Summary).

Certified licenses

Experience

PACIFIC CAPITAL

LPL FINANCIAL LLC

LPL FINANCIAL LLC

Primary Firm SEC Registration

PACIFIC CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 12/13/2018

SIE

Date: 10/10/2018

Series 7

Date: 10/9/2018

Current Firm

PACIFIC CAPITAL

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PACIFIC CAPITAL

TRUST BUT VERIFY

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