Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randall? Claim Your ProfileRandall Caton is a financial advisor in Chandler, Arizona. Randall has been in the industry since April 2011 and is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Chandler, Arizona. Randall has a broad range of experience working with various clients including individuals, high-net-worth individuals, corporations, and charitable organizations. Randall has experience providing a wide range of services, including investment advice, portfolio management, and financial planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
07/29/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHANDLER AZ)
CA
03/20/2024 - 04/11/2024
PACIFIC SELECT DISTRIBUTORS, LLC (NEWPORT BEACH CA)
AZ
05/27/2022 - 07/15/2023
J.P. MORGAN SECURITIES LLC (Tempe AZ)
AZ
01/25/2022 - 03/28/2022
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
CO
05/18/2021 - 08/16/2021
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
AZ
03/30/2017 - 01/22/2021
TD AMERITRADE, INC. (SCOTTSDALE AZ)
UT
04/04/2016 - 08/18/2016
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
UT
10/11/2012 - 03/21/2013
CUNA BROKERAGE SERVICES, INC. (OREM UT)
UT
05/24/2012 - 09/25/2012
FIDELITY BROKERAGE SERVICES LLC (SALT LAKE CITY UT)
AZ
08/12/2011 - 02/06/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
CO
03/14/2011 - 06/17/2011
CUSO FINANCIAL SERVICES, L.P. (BOULDER CO)
CO
02/08/2011 - 02/18/2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)
AZ
02/02/2010 - 10/01/2010
USAA FINANCIAL ADVISORS, INC. (PHOENIX AZ)
UT
09/10/2009 - 12/17/2009
E*TRADE SECURITIES LLC (SANDY UT)
VA
06/30/2009 - 08/04/2009
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
AZ
09/08/2008 - 02/27/2009
HARRIS INVESTOR SERVICES, INC. (PHOENIX AZ)
AZ
11/09/2007 - 09/03/2008
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
AZ
07/19/2006 - 08/27/2007
CHARLES SCHWAB & CO., INC. (PHOENIX AZ)
BC
Issued 06/01/2016
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 10/28/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2016
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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