Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randall? Claim Your ProfileRandall Kaya is a financial advisor with over 29 years of experience in the financial industry. Randall is currently registered with UBS Financial Services Inc. and has previously been associated with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc.. Randall is a licensed Series 63 and Series 65 advisor, and is also registered in California and Hawaii. Randall provides a range of financial services, including financial planning, portfolio management for individuals and businesses, and investment advisory services.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
HI
12/12/2008 - Present
UBS Financial Services Inc. (HONOLULU HI)
HI
04/02/2007 - 12/15/2008
MORGAN STANLEY & CO. INCORPORATED (HONOLULU HI)
HI
04/15/1994 - 04/02/2007
MORGAN STANLEY DW INC. (HONOLULU HI)
IA
Issued 11/04/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/13/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/10/1994
Series 31 - Futures Managed Funds Examination
BC
Issued 04/09/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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