RL
Randall D. Lee
ASHTON THOMAS SECURITIES
Scottsdale, AZ 85260
Some features on this profile are disabled
CRD#: 7679749
RL
Professional summary
Randall Derrick Lee is a registered financial advisor currently at ASHTON THOMAS SECURITIES, LLC located in Scottsdale, Arizona.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Randall has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1. Ashton Thomas Private Wealth, LLC; Yes, Investment Related; 8605 E Raintree Drive, Suite 280, Scottsdale, AZ 85260; Investment Advisory Services; Investment Analyst; 9/16/2024; 40 hours/week.
CRS (Client Relationship Summary) - RIA
Click below to view Randall Derrick Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Derrick Lee'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®
NoneExperience
Current
October 8, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 8605 E. Raintree Drive Suite# 280, Scottsdale, AZ 85260RIA
BD
CRD#: 16629
Scottsdale, AZ
Current
October 8, 2024 - Present
ASHTON THOMAS SECURITIES, LLC
Office #1: 8605 E. Raintree Drive Suite# 280, Scottsdale, AZ 85260RIA
BD
CRD#: 16629
Scottsdale, AZ
Past
April 28, 2023 - September 26, 2024
MORGAN STANLEY
RIA
CRD#: 149777
GILBERT, AZ
Past
April 19, 2023 - September 26, 2024
MORGAN STANLEY
BD
CRD#: 149777
GILBERT, AZ
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".
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
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
RR
Arizona(10/8/2024)
IAR
Arizona(10/23/2024)
RR
New York(10/8/2024)
IAR
New York(10/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/19/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS SECURITIES, LLC
ASHTON THOMAS SECURITIES, LLC | LANZISERA, JOSEPH ANTHONY | EXCEL SECURITIES & ASSOCIATES,INC. | EXCEL SECURITIES & ASSOCIATES, INC. | EXCEL SECURITIES & ASSOCIATES | EXCEL SECURITIES
CRD#: 16629 / SEC#: 801-69225, 8-34261
RIA
Registered Investment Advisory firm - SEC (6/11/2008 Approved)Florida
Registered Investment Advisory firm - SEC (6/18/2008 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
200 Canal View Blvd. Suite 204, Rochester, NY 14623
Mailing Address
200 Canal View Blvd. Ste. 204, Rochester, NY 14623
Phone number
(585) 424-1234
Established
Delaware since 01/08/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
75
SEC notice filing (43 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,599 |
| AUM (Assets Under Management) | $ 1,717,957,312 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
