Alec M. Randolph

KESTRA INVESTMENT MANAGEMENT.

Austin, TX 78735

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CRD#: 7370721

Professional summary

Alec Michael Randolph, who also goes by Alec Michael Randolph, is a registered financial advisor currently at KESTRA INVESTMENT MANAGEMENT, LLC. located in Austin, Texas and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.

Alec is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Alec has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alec Michael Randolph

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 Alec Michael Randolph'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®

None

Experience

Current

October 24, 2025 - Present

KESTRA INVESTMENT MANAGEMENT, LLC.

Office #1: 5707 Southwest Parkway, Building 2, Ste 400, Austin, TX 78735

RIA

CRD#: 317711

Austin, TX

Current

October 24, 2025 - Present

KESTRA INVESTMENT SERVICES, LLC

Office #1: 5707 Southwest Parkway Building 2, Ste 400, Austin, TX 78735

CRD#: 42046

Austin, TX

Past

September 8, 2022 - October 2, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

Houston, TX

Past

August 25, 2022 - October 2, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

Houston, TX

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".

KESTRA INVESTMENT MANAGEMENT, LLC.

CRD#: 317711 / SEC#: 801-122889

RIA

Registered Investment Advisory firm - (12/16/2021 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Texas
(10/24/2025)

IAR

Texas
(10/24/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/25/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/29/2022

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

KESTRA INVESTMENT MANAGEMENT, LLC.

CRD#: 317711 / SEC#: 801-122889

RIA

Registered Investment Advisory firm - (12/16/2021 Approved)

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Contact information

Main Address

5707 Southwest Parkway, Building 2, Ste 400, Austin, TX 78735

Mailing Address

Phone number

(844) 553-7872

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KESTRA IM 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	9,421
AUM (Assets Under Management)	$ 2,615,262,770

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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Advisor Monitoring

Firm Stability Insights

Alec M. Randolph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alec Michael Randolph's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA INVESTMENT SERVICES, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

Primary Firm SEC Registration

KESTRA INVESTMENT MANAGEMENT, LLC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2022

Series 7TO

Date: 8/25/2022

SIE

Date: 4/29/2022

FINRA

Current Firm

KESTRA INVESTMENT MANAGEMENT, LLC.

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KESTRA INVESTMENT MANAGEMENT, LLC.

TRUST BUT VERIFY

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