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JR

James O. Randel

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CRD#: 871536
JR

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.

James Oliver Randel was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1979. James had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, Series 27 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 13, 2015 - March 21, 2016

CORECAP INVESTMENTS, LLC

BD
CRD#: 37068
SOUTHFIELD, MI
Past

June 28, 2012 - August 14, 2015

BUCKRAM SECURITIES LTD

BD
CRD#: 126976
LOCUST VALLEY, NY
Past

December 4, 2007 - June 26, 2012

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
KATY, TX
Past

October 26, 2007 - June 26, 2012

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
KATY, TX
Past

May 3, 2005 - October 29, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA
CRD#: 6694
ATLANTA, GA
Past

January 4, 1999 - October 29, 2007

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ATLANTA, GA
Past

September 16, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL
Past

April 15, 1993 - September 11, 1997

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 22, 1989 - April 14, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

May 31, 1988 - February 21, 1989

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

BD
CRD#: 14229
Past

February 13, 1984 - December 31, 1987

RANDEL & PIERCE, INC.

BD
CRD#: 14637
Past

September 19, 1979 - March 9, 1983

QUINN & CO., INC.

BD
CRD#: 687

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 6/18/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/15/1979
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 6/14/2003
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/7/1983
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/26/1983
General Securities Principal Examination

Current Firm

CI
CORECAP INVESTMENTS, LLC
ADVANTAGE BENEFITS AND RETIREMENT | WINGARD FINANCIAL GROUP | WINDSOR, SHEFFIELD & CO., INC. | WINDSOR SHEFFIELD & CO., INC. | TLC INSURANCE | TALLOU FINANCIAL SERVICES | STRANG ASSOCIATES | STIVERS FINANCIAL | SPARTAN FINANCIAL GROUP | SOLOMON FINANCIAL | SLEEP WELL RETIREMENT | SKOLNIK RETIREMENT SOLUTIONS, LLC | SIMASKO FINANCIAL | RUCKER FINANCIAL GROUP | RONNIE BROUSSARD & ASSOCIATES | ROMAIN FINANCIAL | PHARR FINANCIAL GROUP | PETTIFORD FINANCIAL & WEALTH MANAGEMENT | PATHWAY FINANCIAL GROUP | NJ RETIREMENT PLANNING, LLC | MICHAEL T GROVES FINANCIAL | MANNOR FINANCIAL GROUP | LOVELESS FINANCIAL GROUP, LLC | LAKE COUNTY FINANCIAL GROUP | LABADIE FINANCIAL | KLAUENBERG RETIREMENT SOLUTIONS | JOHN NELSON FINANCIAL | HAROLD THOMAS FINANCIAL GROUP, LLC | GILLIKIN & ASSOCIATES | FIRST FINANCIAL GROUP USA | FINANCIAL FITNESS | EVERLAST FINANCIAL GROUP | ESPERO & PARTNERS | DWORETSKY FINANCIAL | CREATIVE FINANCIAL SOLUTIONS | CORNERSTONE FINANCIAL | CORECAP INVESTMENTS, LLC | CORECAP INVESTMENTS, INC. | COOPER, ADEL, VU FINANCIAL | CONNERS WEALTH MANAGEMENT | CAPITAL CHOICE SOUTHWEST | CAPITAL CHOICE FINANCIAL SERVICES | BELLFLOWER FINANCIAL GROUP, LLC | AZOURY & ASSOCIATES | ASSET MANAGEMENT & ADVISORY SERVICES OF LEE COUNTY | ANDRIKOS FINANCIAL PARTNERS | AMERICAN PROSPERITY GROUP

CRD#: 37068 / SEC#: , 8-47783

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Mailing Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Phone number
(888) 296-3360
Established
Delaware since 04/24/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CORE CAPITAL HOLDINGS, LLCPARENT COMPANY
MUNCIE, DAVID WAYNECHIEF FINANCIAL OFFICER & POO1802808
PETERS, ROBERT WILLIAMFINOP1704577
RUMLER, CRAIG DAVIDCHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER
STEENO, JASON RAYMONDPRESIDENT2733742

Disclosures

Regulatory Event8
Arbitration1

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.

Company Information

CORECAP INVESTMENTS, LLC

CRD#: 37068

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