Randy S. Palomba

PTMA INVESTMENT ADVISORS

Denver, CO 80202

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CRD#: 703954

Professional summary

Randy Scott Palomba, who also goes by Randy S. Palomba, Randy Scott Palomba, is a registered financial advisor currently at PTMA INVESTMENT ADVISORS located in Denver, Colorado.

Randy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Randy has worked at 3 firms and has passed the Series 7 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Randy S. Palomba | Randy Scott Palomba

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 Randy Scott Palomba'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

October 20, 2011 - Present

PTMA INVESTMENT ADVISORS

Office #1: 717 17th Street Suite 1850, Denver, CO 80202

RIA

CRD#: 159189

Denver, CO

Past

January 2, 1998 - July 19, 2011

CUTWATER ASSET MANAGEMENT

CRD#: 37214

ARMONK, NY

Past

August 13, 1993 - December 31, 1995

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

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".

PTMA INVESTMENT ADVISORS

GFAM | PUBLIC TRUST ADVISORS, LLC | PTMA INVESTMENT ADVISORS

CRD#: 159189 / SEC#: 801-72782

RIA

Registered Investment Advisory firm - (10/13/2011 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

Colorado
(10/20/2011)

IAR

Florida
(3/31/2016)

IAR

Louisiana
(3/1/2016)

IAR

Michigan
(3/3/2016)

IAR

Texas
(3/1/2016)

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

General Industry/Product Exam

Series 7

Date: 8/12/1993

General Securities Representative Examination

Current Firm

PTMA INVESTMENT ADVISORS

GFAM | PUBLIC TRUST ADVISORS, LLC | PTMA INVESTMENT ADVISORS

CRD#: 159189 / SEC#: 801-72782

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

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Contact information

Main Address

717 17th Street Suite 1850, Denver, CO 80202

Mailing Address

Phone number

(855) 395-3954

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	241
AUM (Assets Under Management)	$ 94,211,094,125

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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Randy S. Palomba

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Randy Scott Palomba's CRS (Customer Relationship Summary).

Certified licenses

Experience

PTMA INVESTMENT ADVISORS

CUTWATER ASSET MANAGEMENT

HANIFEN, IMHOFF INC.

Primary Firm SEC Registration

PTMA INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 7

Date: 8/12/1993

Current Firm

PTMA INVESTMENT ADVISORS

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PTMA INVESTMENT ADVISORS

TRUST BUT VERIFY

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