Randolph R. Neumann
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.
Randolph Robert Neumann, CFP®, who also goes by Randy Robert Neumann, was a registered financial professional .
Randolph is a previously registered financial professional and started their career in finance in 1980. Randolph had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1983
Experience
June 17, 2011 - January 3, 2024
RANDY NEUMANN WEALTH MANAGEMENT
April 22, 2009 - May 16, 2024
LPL FINANCIAL LLC
April 22, 2009 - May 16, 2024
LPL FINANCIAL LLC
January 12, 2009 - April 23, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 21, 2003 - January 12, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 11, 1998 - April 23, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 15, 1992 - May 7, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 30, 1992 - March 18, 1998
OSAIC WEALTH, INC.
October 31, 1986 - January 5, 1987
ABACUS EQUITY SERVICES, INC.
January 30, 1985 - May 4, 1992
MML INVESTORS SERVICES, LLC
October 3, 1984 - October 12, 1984
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
August 1, 1980 - October 31, 1986
CARDELL & ASSOCIATES, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 7/21/1980
Registered Representative ExaminationCurrent Firm
RANDY NEUMANN WEALTH MANAGEMENT
CRD#: 129381 / SEC#:
Contact information
Red Flags
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