James H. Randall
Professional summary
James Harrison Randall, who also goes by Harrison Randall, James Randall, is a registered financial advisor currently at CAPITAL ADVISORS, INC. located in Frisco, Texas.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. James has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Harrison Randall's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2022 - Present
CAPITAL ADVISORS, INC.
Office #1: 3001 Dallas Parkway, Frisco, TX 75034August 11, 2021 - November 3, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
July 27, 2021 - November 3, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 12, 2019 - February 4, 2021
EDWARD JONES
December 13, 2018 - February 4, 2021
EDWARD JONES
Primary Firm SEC Registration
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/3/2022)
(10/31/2022)
Exams
Series 7TO
Date: 12/13/2018
General Securities Representative ExaminationCurrent Firm
CAPITAL ADVISORS, INC.
CRD#: 104643 / SEC#: 801-14050
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,297 |
| AUM (Assets Under Management) | $ 6,146,880,645 |
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
CAPITAL ADVISORS, INC.
CRD#: 104643Frisco, TX 75034TRUST BUT VERIFY
Monitor James Randall
Get automatic monthly alerts on:
