Randy S. Palomba
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Randy Scott Palomba, who also goes by Randy S. Palomba, Randy Scott Palomba, was a registered financial professional .
Randy is a previously registered financial professional and started their career in finance in 1993. Randy had worked at 3 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2011 - December 31, 2025
PTMA INVESTMENT ADVISORS
January 2, 1998 - July 19, 2011
CUTWATER ASSET MANAGEMENT
August 13, 1993 - December 31, 1995
HANIFEN, IMHOFF INC.
Primary Firm SEC Registration
PTMA INVESTMENT ADVISORS
CRD#: 159189 / SEC#: 801-72782
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PTMA INVESTMENT ADVISORS
CRD#: 159189 / SEC#: 801-72782
Contact information
SEC notice filing (10 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 241 |
| AUM (Assets Under Management) | $ 94,211,094,125 |
Red Flags
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