Randall C. Peck
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.
Randall Craig Peck, who also goes by Randy Peck, was a registered financial professional .
Randall is a previously registered financial professional and started their career in finance in 1976. Randall had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 31, 2008 - October 2, 2020
D.A. DAVIDSON & CO.
October 16, 2008 - October 2, 2020
D.A. DAVIDSON & CO.
January 1, 2008 - October 27, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 27, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 31, 1997 - January 1, 2008
A. G. EDWARDS & SONS, INC.
December 17, 1990 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 2, 1987 - December 20, 1990
CITIGROUP GLOBAL MARKETS INC.
January 17, 1984 - January 29, 1987
DAIN RAUSCHER INCORPORATED
December 19, 1983 - March 19, 1986
UBS FINANCIAL SERVICES INC.
July 21, 1980 - October 8, 1983
MORGAN STANLEY DW INC.
October 22, 1976 - December 19, 1983
FIRST MID-AMERICA INC.
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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
Series 5
Date: 12/11/1982
Interest Rate Options ExaminationSeries 8
Date: 7/2/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
