Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Randolph? Claim Your ProfileRandolph Finneman is a financial advisor at Raymond James Financial Services Advisors, Inc. Randolph has over 18 years of experience in the financial services industry. Randolph holds Series 7, 9, 10, 63 and 66 securities licenses and is registered to provide investment advice in 45 states. In addition to providing financial advice, Randolph also works part-time as a delivery driver for Amazon.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
UT
04/08/2019 - Present
Raymond James Financial Services Advisors, Inc. (SOUTH JORDAN UT)
UT
01/13/2014 - 03/08/2018
SCOTTRADE, INC. (SALT LAKE CITY UT)
UT
08/08/2011 - 01/17/2014
TD AMERITRADE, INC. (DRAPER UT)
UT
10/16/2006 - 09/06/2011
E*TRADE SECURITIES LLC (SANDY UT)
IL
07/06/2005 - 09/13/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
01/23/2004 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
MN
11/05/2003 - 12/11/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
11/05/2003 - 12/11/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 02/12/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/11/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/17/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/06/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/08/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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